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.

 

May 27, 2013 • Tags: , • Posted in: Financial

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