Investment Compliance Senior Manager recruitment

JOB RESPONSIBILITIES

Ensure compliance with regulatory requirements and standards and guidelines
Review product documentation to ensure fully compliance with regulatory requirements and policies
Assist in product development by providing specialized product knowledge and advices with qualitative market intelligence
Develop appropriate tracking reports to monitor the quality assurance, time-critical transaction process, and the requirements of documentation and reporting as set out in the regulations
Manage operational risks driven by trading activities by conducting daily, weekly, and monthly reviews to ensure compliance with regulatory and internal policies
Provide sales compliance advisory where necessary to frontline to ensure the sales protocol are well followed to promote sustainability in business activities

JOB REQUIREMENT

Degree holder in Law, Finance or Accounting, with min 6 years of experience in Compliance function of international financial institution
Must have at least 3 years of relevant experience with a Fund House covering product compliance activities, or with a financial regulator
In-depth knowledge of regulatory and compliance requirements, especially those related to investment products activities
Should possess good communication skills
Ability to work independently, self-motivated, need to be a good team player
Leadership experience is preferred

Interested Applicants please send your resume (in Word format) together with present and expected salary to Jay Sim:

Tel: (852) 2521-5118 ext. 804

Email: jaysim@pplesearch.com

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