Regional Investments Compliance Officer
The Investments Compliance Officer will have the following responsibilities:
• Work with Regional partners, such as Regional Wealth Management, Regional Insurance, Investment Products Risk, Operations and Technology, Operational Risk, Legal and other functional groups to review new products and initiatives.
• Provide Compliance support in reviewing investment products tabled at the Regional Product Approval Committees
• Review country Wealth Management product programs, marketing materials and client documentation; proactively manage the Wealth Management Compliance function.
• Develop effective control processes for advisory and solicitation business.
• Oversee the country surveillance process and trend analysis
• Work with the team of country Investment Compliance Officers to ensure consistent standards are applied in the Sales and Distribution of Investment products.
• Regularly monitor and review product disclosures, suitability and sales practices to detect deficiencies and proactively recommend solutions across the region.
Qualifications
• At least a Bachelors degree from a recognized university with background in Banking, Finance, Accountancy or Law.
• 7 to 9 years experience working in the financial sector with emphasis on Wealth Management and/or Compliance risk management. Other roles such as audit, control, surveillance may also be considered.
• Possessing strong analytical, interpersonal and communication skills.
• Knowledge of regulations governing Investment products across Asia.
Apply online. Only shortlisted candidates will be contacted.
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