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The position is primarily responsible for working with a team tasked with conducting ongoing, risk-based compliance assessments and targeted reviews designed with an emphasis on key regulatory focus areas and compliance themes, including, but not limited to, portfolio management activities, trading practices, accuracy of disclosures, code of ethics, distribution, governance, privacy, investment guideline monitoring, derivatives usage, surveillance and testing, policies and procedures development and regulatory filings, correspondence, electronic/digital communications review, records maintenance, preparing management reports/metrics, and other miscellaneous compliance-related tasks. The responsibilities also include the following:
Develop and perform targeted reviews and discreet assessments which independently evaluate the adequacy, comprehensiveness, and effectiveness of monitoring and testing function
Actively participate in cross functional Risk Management Working Group Meeting
Develop documentation for new, complex or higher risk business processes (flowcharting, risk and control mapping)
Consult with senior management to develop corrective action plans to enhance control environment, while maintaining a balance between risk-mitigation and operational efficiency (record action plans in Archer system).
Maintain Compliance Assessment & Testing Sharepoint site as central repository for key testing documentation, regulatory exam responses, internal audits, and third-party independent reviews
Establish and maintain effective working relationships with Senior Management, Business Unit/ Compliance Leads, Operational Risk, Internal Audit and Global Compliance Office
Assist in recruitment, training and development for current and future team members
To qualify for this role, you will need to have the following requirements:
Bachelor's degree in Banking and Finance, or related discipline
A minimum of 10 + years' work experience in the financial services industry, ideally in the asset management industry in compliance, risk, audit or a related area are required, of which at least 4 years are in a supervisory capacity
Prior experience in compliance unit working on trade surveillance, investment guideline monitoring, securities law, and asset management
Advanced degree and/or professional certification such as CFA, CIA, CRCM or CPA preferred
The candidate should be highly motivated, self-confident, energetic, have an inquisitive mind, and be controls conscious
Strong interpersonal and organizational skills, and ability to manage multiple assignments/projects with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team are critical
Strong working knowledge of current auditing and testing techniques/industry standards
If you are interested in this role, please send your cv to email@example.com . For further information or a confidential discussion, please contact Denise Lim at +852 2920 9133.