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.
Business Compliance Manager (6 month contract- Global Asset Manager )
Aquis Search, EA Licence No: 16S8125
January 5, 2020
Responsibilities of the role:
Provide compliance advisory support in addressing latest local regulatory requirements and daily operational issues
Investigate complaints and operational errors and recommend risk-mitigating actions to prevent re-occurrence Interact with regulators and handle regulatory enquiries, surveys and reports
Handle due diligence requests Conduct routine monitoring and assist other monitoring teams to harmonize testing procedures to reinforce Global Standards Participate in compliance initiatives and projects, Prepare summaries of regulatory consultation papers and conduct impact analysis on regulatory updates
Supervise regulatory licensing matters where necessary
Requirements of the role:
Degree in Accounting/Finance/Law or related disciplines
At least 5 years of relevant experience in the financial services industry, preferably gained through practical experience in asset management companies and/or regulatory authorities
A good understanding of the applicable regulatory requirements surrounding offers of investments
Good product specific knowledge
Strong oral and written communication skills in both English and Chinese