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- Competitive salary package
- Excellent business exposure
Our client is a global leading asset management company who has outstanding performance in recent years.
Core Compliance Processes Maintenance of core Group Compliance Processes including:
PA Dealing Procedures and Log - This includes obtaining broker's statement and annual statement of holding, reminding staff to sign-off
Code of Ethics - Securities Transaction Report within 10 days after quarter-end
Gifts and Entertainments Procedures and Log
Restricted Deals Procedure and Log
Breaches Register and Log
Complaints Register and Log
Conflicts of Interest Procedure
Code of Ethics Procedures
Training and Competence
Advisory Guidelines/ Regulatory
To provide regulatory & client specific advice in respect of investment.
To advise business on statutory or foreign ownership limits. This includes reviewing the wish-list of equities to be invested for a new injection and ensure resultant positions will stay within the statutory or foreign ownership limits. On a day to day, need to prepare an accurate spreadsheet on Asian stocks which are near to statutory
limits. The spreadsheet is used by Compliance, including UK, for assessing if trades blocked by Charles River can be released.
To ensure the Plc Compliance Manual & its core Compliance Processes is kept under review & updated as & when necessary.
To review new mandate and existing mandate undergoing changes in the IMA / prospectus to ensure they can be monitored, coded on Charles River system and on-going changes in the fund guidelines are communicated to the relevant department / teams to make adjustment on the system and monitoring work plan.
Input into the development, maintenance & risk scoring of the Risk Based Compliance Monitoring programme, ensuring that the programme covers all relevant areas of regulated business.
Day to day responsibility to ensure delivery of the Compliance Monitoring Programme according to schedule & to the required standard as to methodology, accuracy and presentation.
Reporting of monitoring findings to business units & working with management to progress & resolve issues arising.
Input into Compliance papers / inserts in respect of internal controls compliance reports, when needed for Board, Compliance, Global Risk meetings.
Ensure the timely completion of client, regulatory and internal reporting.
To deliver Compliance induction training. This includes timely updating of training aids.
To liaise with business units to ensure that they are familiar with Compliance processes and, where relevant, give adequate trainings.
To promote awareness of the Compliance culture throughout the business.
Representing company at various technical Compliance forums, reporting back & disseminating information where appropriate.
To assist & organise as requested, external compliance monitoring visits by regulators, clients, Trustees, Auditors… etc. To ensure that information is supplied in a timely manner, requests are dealt with, requests for information are responded to
To respond to external queries e.g. From Trustees & regulators etc. in relation to areas of monitoring programme or processes which have been delegated as 'areas of responsibility'
Participating in the tracking of the Compliance regime & how it affects business. Responsibility for projects in relation to Regulatory change as allocated.
University Degree holder (major in Legal/ Accountancy / Finance preferred)
6 to 8 years of compliance and risk experience in the fund management industry
Good knowledge of China regulations and developments in the financial market
Being qualified responsible person in charge of compliance and risk control; having relevant fund practitioner qualification through
(1) passing the public fund practice qualification examination,
(2) engaging in business related to investment management in the recent 3 years, which mainly refers to (a) engaging in business related to asset management in the recent 3 years and the annual average assets under management amounting to RMB10 mio or above, or (b) working for the financial regulatory institution or the financial institution under its supervision in the recent 3 years, or
(3) other situations recognised, which mainly refer to passing of the securities or futures practice qualification examination.
Ability to communicate compliance requirements and prepare appropriate reports and procedures
Able to design relevant risk management and internal control policies (in Chinese) that are in compliance with the Guidelines on the Internal Control of Private Investment Fund Managers.
Competitive salary in a international platform.