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The incumbent assists the Chief Compliance Officer in:
Regulatory Compliance and AML/CFT implementation which includes strategies, systems and controls relating to company's inhouse Funds, to ensure Compliance to regulatory obligations.
Risk and Compliance monitoring on an on-going basis as well as setting a strong Compliance culture within the Group;
Risk Management which includes identification, management and mitigation of risks relating to Asset Management business that company manages.
He/she also assists the Chief Compliance Officer in providing assurance and advice to various Asset Management business with regards to Risk and Compliance matters.
Individual Contributor or People Manager
Duties and responsibilities
Regulatory Compliance, Policies Implementation and Reporting
The incumbent assists the Chief Compliance Officer in timely and accurate reporting to Regulators, implementing strategic plans alongside changing regulatory environment and ensuring the adequacy and efficiency of all Compliance controls / monitoring plans.
Assist and lead in development, maintenance and implementation of all applicable Compliance requirements for Asset Management activities (statutory and regulatory), and to map such controls to appropriate regulatory notices and guidelines.
Formulate and deliver activities through Compliance Monitoring Plans to ensure alignment and Compliance with the Firm's regulatory obligations relating to Asset Management (Funds business).
Review of activities in Funds' subscription/ redemptions and Funds' management (investments) to analyze trends and to identify red flags on insider dealing, money laundering risks, suspicious activity and any other areas of concerns.
Review and provide inputs on Client On-boarding, KYC/CDD process, Outsourcing Arrangements, Business Partners relating to Asset Management business from and end- to-end perspective, and on an on-going basis.
Review and provide approvals on Gift and Entertainment requests and Personal Account Dealing requests on an on-going basis.
Investigation of Compliance breaches and Complaints, and to propose improvements to processes and/or mitigate recurring issues.
Continual monitoring of external sources (e.g. Regulatory updates, seminars and workshops) to keep abreast of current and proposed developments and changes, and to update Senior Management and key stakeholders, as appropriate.
Review and monitor client relationships and transactions, especially those of high-risk clients, and to obtain Senior Management's approval, as appropriate.
Develop and maintain strong relationships with regulators, stakeholders, various business functions.
Review of existing controls and processes to identify gaps alongside changes in regulatory environment, and to propose recommended enhancements/implementation as necessary.
Project Management, Trainings, and Ad-hoc Assignments
Represent the Firm and/or Risk and Compliance function in projects or events as directed by Head, Risk and Compliance and/or Senior Management.
Collaborate with key stakeholders, business functions and auditors to drive strong Compliance culture, remediate and mitigate Risk and Compliance issues.
Assist and lead in any ad-hoc assignments or projects as directed by Head, Risk and Compliance and/or Senior Management.
Well versed in Regulatory Environment and Laws (e.g. Securities and Futures Act, MAS guidelines, DFSA rules, etc.) relating to Asset Management (Funds) industry
Experience in Regulatory Compliance and Implementation, AML/CFT, Risk Management, and/or Audit in financial services industry
Prior experience in an asset management firm
Experience in drafting policies, procedures and internal controls
Proactive, meticulous, and attention to details
Ability to work independently
Good attitude with strong organizational and time management skills
Passionate, reliable and with high standards of integrity
Strong analytical and problem-solving skills
Team oriented, and ability to lead projects and assignments
Strong communication and facilitation skills
Ability to work/deal with regulators, internal and external stakeholders
Please send us your resume to email@example.com.
Internal Number: 6276175
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