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The regional Compliance Control and Risk Management (CCRM) team
Ensures the definition and deployment of a robust and efficient Compliance control framework across the region;
Performs periodic control testing on the Compliance APAC function and APAC business lines, via execution of Group Control Plans
Coordinates the execution of Compliance risk assessment initiatives and the production of key Compliance reporting;
Track the status of Compliance-related recommendations to ensure that corrective actions are implemented within agreed timeframe;
The Compliance Control Officer APAC is in charge of performing periodical 2nd level control testing on APAC Compliance function and Business Lines in order to assess the effectiveness of the regional Compliance control framework across all Compliance Domains (Professional Ethics, Financial Security, Market Integrity, Fiscal and Banking Laws, Protection of Interests of Clients) with a focus on Market Integrity.
Compliance Control testing
Perform Compliance control testing, based on Group Compliance Control Plans. Ensure adequate adaptation and rollout across a given perimeter.
Communicate review results, present identified issues to Country Compliance, work with Country Compliance to develop and implement a plan of corrective actions
Escalate potential issues and exceptions items noted during the controls
Track status of corrective action plans agreed with Country Compliance
Maintain detailed and organised documentation of work products
Coordinate with other professionals in the organisation, including other Compliance teams and Internal Audit, as necessary
Remain current on Group policies and industry rules, regulations and best practices to help ensure that the testing program meets Group and regulatory standards
Communication and reporting
Ensure high quality testing results, action plans and reports (dashboards) are published
Communicate on control and risk management matters (including identified issues) with relevant Compliance / Business / Country stakeholders on a given perimeter
Provide status report to Management on a regular basis
Contribute to ensuring that an appropriate Compliance procedure framework is maintained
Contribute to tracking and reporting of Compliance related incidents and open audit recommendations
Contribute to the response to regulatory and internal audit assignments as required
Contribute to risk assessment initiatives as required
Technical And Behavioral Competencies Required
Good level of understanding of Compliance, risk and control matters especially in regards to Market Integrity
Ability to prioritize and work independently
Ability to evaluate complex situations and to issue appropriate and pragmatic recommendations
Team player with interpersonal and teamwork skills
Experience in coordination, reporting and communication with senior management
Self-confidence, ability to stand their ground when required
Experience and Qualifications Required
Compliance / Audit / Control / Risk Management experience
Investment banking/ Global markets/ Capital markets experience
Qualifications in finance, law or accounting appreciated
Fluent in English.
Bachelor Degree or equivalent (>= 3 years)
At least 3 years relevant experience
Ability to collaborate / Teamwork, Adaptability, Decision Making
Analytical Ability, Ability to understand, explain and support change