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Our client is an established asset management renowned for its diversified investment management services and products. They are now seeking for top calibre candidates to join them in Hong Kong.
Responsible for conducting ongoing, risk-based compliance assessments and targeted reviews designed with an emphasis on key regulatory focus areas and compliance themes, including 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, SFC, FCA and other regulatory filings, correspondence, electronic & digital communications review, records maintenance, preparing management reports/metrics, and other miscellaneous compliance-related tasks. Assist in maintenance & execution of the annual testing calendar, development of forensic tests and coordination of responses to regulatory and internal audit examinations.
Develop internal systems-generated exception reports to enhance/facilitate testing and review requirements. Complete timely documentation of test findings, and prepare reporting materials & presentations. Develop forensic, periodic and transactional testing protocols and documentation templates. Develop and Conduct compliance assessments designed to identify and assess regulatory, compliance and business risks including those related to portfolio management, trading, personal trading, and supervisory structure and oversight. Develop and Perform targeted reviews and discreet assessments which independently evaluate the adequacy, comprehensiveness, and effectiveness of monitoring and testing function. Effectively manage the Compliance Assessment program. Develop documentation for new, complex or higher risk business processes. Maintain Compliance Assessment & Testing system as central repository for key testing documentation, regulatory exam responses, internal audits, and third-party independent reviews. Review & assess emerging compliance matters and ensure submission of required data.
To be considered, you will be a Degree holder with a minimum of ten years work experience in the financial services industry, compliance, risk, audit or a related area are required. ound knowledge of current auditing and testing techniques & industry standards. Familiarity with compliance/trading systems, research systems and/or data management systems a plus. Strong interpersonal and communication skills.
Interested applicants should send a detailed resume to Michelle Ho by email to email@example.com or by fax to (852) 2838 3323 quoting reference eFC3107.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)