Investments Product Compliance – Fund Products recruitment
Job Description
This position will support the Asia Pacific Investments Compliance team in the review and approval of client facing materials, with particular coverage of materials pertaining to:
- Funds, e.g. marketing decks for global or region-specific use, fund research reports, real estate referral activities etc.
- Discretionary products and investment advisory services, e.g. customised client proposals
- Investment Lab model analyses on recommended portfolios
- Thematic piece, e.g. the Playbook
- Other ad-hoc pieces for distribution to clients or materials provided at client events (e.g. Client Outlook)
Focus of the review shall be to ensure that the contents of the materials are in line with local regulatory requirements (i.e. required regulatory disclosures on sales practices), cross-border usage in line with the Bank’s Offshore Wealth Services Policy, and usage in line with internal standards and guidelines, e.g. RDIP.
The Successful Applicant
- University degree, preferably in Business, Finance or similar disciplines
- At least 8 years’ relevant financial industry experience with an audit, compliance or product-related background in asset management or fiduciary businesses
- Knowledge/experience in Fund products
- Working knowledge of the laws and regulations affecting sales of products, investor protection and asset management industry in the Asia Pacific region
- Analytically minded and ability to work under time pressures
- Excellent interpersonal and communication skills and the ability to work with people at all levels
What's On Offer
- International working environment
- Stable with excellent work-life balance
- Excellent career development opportunities within the firm
July 11, 2012
• Tags: Accounting & Finance careers in the Hong Kong SAR, Fund Products recruitment, Investments Product Compliance • Posted in: Financial