- Assist all aspects of the firm's compliance program.
- Provide regional coordination in relation to adhoc compliance projects in North Asia
- Participate in joint initiatives between regulatory and investment compliance teams in APAC.
- Provide regulatory support such as managing licensing, reporting and conduct requirements.
- Perform compliance reviews of the firm's marketing materials, product-related documents and client correspondence.
- Conduct compliance monitoring and testing against local regulatory requirements, industry best practice and company policies and procedures.
- Perform AML and sanctions checking.
- Manage audits and regulatory reviews.
- Perform administrative duties including maintaining an effective documentation and filing system.
- Advise and guide business on group policies revisions and regulatory compliance developments and help design and enhance an effective compliance programme to implemenation.
- At least 3 to 5 years working experience in compliance and/or audit in financial services with primarily exposure to asset management. Candidate with appropriate experience may be offered with a managerial position.
- Degree qualified in either a finance/accounting/law discipline.
- Strong communication skills including bilingual skills in English and Chinese (spoken and written preferable).
- Confident, self-motivated, resourceful and able to take initiative and work autonomously.
- Ability to work under pressure with good organization and time management skills.
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Compliance Senior Associate, HK - Hong Kong, 香港 - PIMCO
描述
RESPONSIBILITIES
:The primary responsibilities include managing and administering the firm's compliance programme covering areas on compliance programme monitoring, vendors and distributors onboarding and regular review, KYC/AML, staff trading, marketing materials review, fund authorization, maintenance of licenses, compliance training, managing internal and external audits, handling regulatory enquiries and inspections and other regulatory requirements.
Main Responsibilities:
QUALIFICATIONS:
REPORTING:
CCO North Asia & Head of Investment Compliance APAC
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