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Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Background on the Team
The Private Wealth Management (PWM) business focuses on serving the investment needs of ultra-high net worth individuals. PWM Compliance is responsible for assisting in managing the Firm's PWM business regulatory risks and helping to preserve the Firm's franchise through ensuring business and infrastructure units' compliance with applicable laws, regulations, rules and internal policies and procedures.
-Maintain and update Compliance documentation including business unit manuals, Compliance Notices, rules databases, risk assessments and Compliance plans
-Perform daily, monthly and ad hoc surveillance of sales and trading activities
-Ensure staff are properly registered and trained
-Monitor for regulatory changes and communicate such to the relevant staff
-Provide training to the Business and Infrastructure Units
-Deal with ad hoc regulatory inquiries
-Develop new surveillance reports and systems with IT
Skills required (essential)
-Minimum 5 years' relevant working experience in the financial services industry in Compliance or related fields or with a securities exchange or securities regulator.
-Preference will be given to candidates with solid product knowledge as well as a strong private banking and/or Hong Kong regulatory background.
- Excellent verbal and written English communication skills essential, fluency in Asian languages e.g. Mandarin or Cantonese advantageous