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.
Lead a compliance team designated for the Group's securities business engaged in Types 1, 2, 4, 6 and 9 regulated activites
Prepare licence applications for the company, responsible officers and licensed representatives
Carry out regular monitor of trading and settlement activities to identify potential non-compliance incidents and irregularities (including but not limited to staff misconduct, money laundering and market misconduct) for further investigation and filing of suspicious report
Review product due diligence, client suitability, marketing and disclosure issues arising from distribution of various investment products
Review error incidents and customer complaints to identify underlying problems and remedial actions
Handle regulatory enquiries, inspections and investigations
Design and deliver compliance trainings for front and back office staff
Hold a university degree, post-secondary diploma or professional qualification, preferably in finance / accounting / business / legal disciplines
At least 5 years of compliance-related experience in the securities industry
Mature, responsible, independent and attentive to details
With excellent presentation, interpersonal and supervisory skills
Processing licence applications for submission to regulatory bodies
Monitoring compliance with corporate finance policies and procedures, including but not limited to staff dealing rules, Chinese Wall system and placing guidelines
Handling information requests from regulatory bodies and auditors
Hold a university degree or post-secondary diploma, preferably in finance / accounting / business / legal discipline
At least one years of experience in the securities industry
Mature,self-initiated and detailed-minded
Possess excellent communication and interpersonal skills
We offer attractive salary, benefits and 5-day workweek to the successful applicant. Please send your resume with present and expected salary to the Group Human Resources Manager. (Please quote the job reference number on the email subject line.)
Personal Data collected will be used for recruitment purposes only.