CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Our client is a large financial services group with international presence. They are now looking for a Regulatory Compliance Manager to join their expanding team.
Provide compliance advice
Review and update company policy and procedure to ensure the business is in compliance with all regulatory requirements
Develop and implement compliance monitoring review program covering all key regulatory risks and be able to make constructive suggestions to improve the internal control framework of the brokerage and research operations
Handle licensing requirements and inquiries from SFC and related regulators
Provide compliance training to business units and other relevant stakeholders
University graduated in Accounting, Finance, Business Administration or Law
Minimum 6 years of experience gained within the compliance function, SFC licensed corporation preferred; or a local or overseas banking or relevant financial supervisory body; or a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
Take a proactive/value add approach to provide compliance advise for new business products
Strong compliance knowledge and familiar with all SFC rules and regulations
Preferably experience of dealing in multiple countries