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Our client is a well establish asset management firm an unparalleled reputation across the region. With the continued growth of the organization, the need has arisen to recruit a high caliber candidate to join them.
This is a leadership role within the Global Compliance team with primary responsibility for overseeing the Compliance function in the Asia region. Ensure that the Asia operations comply with relevant rules and regulation. Partner closely with business clients to support the growing business in the region. Responsible for ensuring the business conducted within the Asia region complies with applicable laws and regulations, internal firmwide and local compliance policies and procedures, contractual obligations. Responsible in responding to question, information requests from regulatory authorities; management of regulatory inspection visits; maintaining knowledge of regulatory developments and implement any required business changes; conducting training as necessary. Work with Compliance teams in other locations on the development and regular updates of global policies and procedures to ensure they cover local regulatory requirements of jurisdictions in which we operate in the region. Act as the compliance representative in all projects and initiatives in the region; work collaboratively with business unit representatives to ensure regulatory/compliance risks and considerations are addressed. Provides consultative support and advice on Code of Ethics and Conduct related matters, other global compliance policies & procedures and gives advice and interpretive guidance on compliance/regulatory matters. Management of the International Compliance function. Responsible for the development of the function, recruitment, training, providing feedback and guidance to associates relating to their performance and career development. Proactively develops process improvements, monitors resource levels, highlights and addresses potential areas of regulatory risk
To be considered, you will be a university graduate with a minimum of 15 relevant years working experience in the compliance field in Asia region. In depth knowledge of the investment management industry. Extensive knowledge of SFC/MAS regulatory framework with direct relevant experience. Good product knowledge – US mutual funds, UCITS products and separate account strategies. Mentoring, management and leadership skills. Excellent communication and presentational skills.
Interested applicants should send a detailed resume to Michelle Ho by email to firstname.lastname@example.org quoting reference eFC3164.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)