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Compliance Officer (Securities, Trust and Insurance)
The Core Securities Company Limited
May 2, 2021
PRIMARY RESPONSIBILITIES (include, but are not limited to)
The Compliance Manager reports to the MIC of Compliance and Legal & Compliance Team by monitoring and reporting results of the compliance/ethics issues and providing guidance for the senior management team on matters relating to compliance.
The Compliance Manager, together with the Executive Management Team, shall implement all necessary actions to ensure achievement of the objectives of an effective compliance program.
Preparing, maintaining, and updating policies and procedures for the general operation of the Company to comply with the latest laws, regulations and requirements.
Providing guidance and advice to management and employees of the Company from compliance perspective.
Collaborating with other departments of the Company to direct compliance issues to appropriate existing channels for investigation and resolution. Consulting with legal counsels as needed to resolve difficult legal compliance issues.
Responding to alleged breach or violation of rules, regulations, policies, procedures, and standards of conduct by recommending effective investigative procedures and sensible solutions.
Acting as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
Being familiar with status of all compliance activities and able to identify trends.
Managing customer complaint process and conducting analysis on trends regarding compliance and regulatory activities.
Identifying potential areas of compliance vulnerability and risk; developing and implementing corrective action plans to tackle problematic issues, and providing guidance and advice on how to avoid or deal with similar situations in the future.
Providing work reports on a regular basis, and as directed or requested, to keep the senior management team informed of the operation and progress of compliance matters.
Ensuring proper and timely reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
Establishing and managing a compliance "hotline" within the Company.
Raising awareness of compliance throughout the Company, and being familiar with all relevant laws, rules, regulations, guidelines, and requirements of regulators to ensure compliance.
Working with the Human Resources Department and Legal & Compliance Department as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees.
Monitoring and improving effectiveness of the compliance program.
Maintaining professional and technical knowledge by attending educational workshops, and reviewing professional publications.
Any other responsibilities as directed by the management.
KNOWLEDGE AND SKILL REQUIREMENTS
University degree in law, accounting, finance or related disciplines.
A minimum of 5 years' experience of compliance in an insurance brokerage company, trust company or securities firm.
Must have good understanding of securities, trust and insurance operations.
Must be familiar with securities, trust and insurance related rules and requirements for conducting regulated activities.
Familiar with operational, financial, quality assurance, internal controls procedures and regulations.
Must have the ability to safekeeping confidential information.
Must possess excellent time management skills, organizational and communication skills, both oral and written and present professional image and be strongly customer-oriented.
Must be able to plan, prioritize, delegate, and follow through to successful completion, all assignments and ability to work effectively with minimum direction and supervision.