Asset Management Compliance Specialist
Credit Suisse
Hong Kong, China
6天前

Your field of responsibility

As a part of role, your responsibility includes :

  • The opportunity to provide general advisory pertaining to asset management (AM) business enquires, including but not limited to cross-border marketing and distribution in APAC, regulatory requirements and Credit Suisse policies and procedures
  • The expectation to review and approve marketing materials for dissemination to AM clients / prospects and via channel distribution in APAC and ensure compliance with the relevant rules and regulations
  • The need to conduct regular trade surveillance tasks such as automated alerts clearance, cross trades and personal account trading surveillance, fact-finding via other systems and businesses, and preparation of Monthly Management Information Governance Report and other relevant management reporting requirements.
  • Promptly raise any concerns and / or issues where necessary

  • The opportunity to be actively involved in developing and implementing the monitoring, surveillance and testing framework for AM businesses in APAC
  • The chance to collaborate with Global AM compliance teams, Core Compliance Services, Financial Crimes Compliance, Control Room and Monitoring and Testing teams as necessary in the coverage of AM APAC Businesses and assist with the necessary actions (investigations / disciplinary actions) as required
  • You will need to prepare and organize training programs for AM business, (including induction training for new joiners)to keep tabs on the latest regulatory developments
  • The responsibility to prepare regulatory reporting for timely submission to the relevant regulators in APAC
  • The occasion to assist in reviewing and assessing the impact of new and / or revised regulatory requirements in consultation papers and proposed CS policies on AM business
  • The occasion to be involved with reviewing New Business / Product as well as ad-hoc projects involving cross functional teams and other business-units within CS
  • The opportunity to participate and assist in the continuous review of the AM Compliance Program and support the Compliance team in running new business initiatives and projects
  • The opportunity to be based either in HK or Singapore and covering the AM Businesses operating in HK and North Asia (ex-Japan).
  • Your future colleagues

    You will be part of the AM Hong Kong ( HK ) Compliance team in providing a dynamic compliance coverage to the AM Business in HK whose business scope will include but is not limited to the jurisdictions of HK, China, Taiwan, and South Korea.

    You will have the continuous learning opportunity of working with the AM HK Compliance Head as well as collaborating with the AM Regional and Global Compliance Heads in implementing the AM Compliance Strategy and Program to meet the requirements of the AM Business in the Asia-Pacific region ( APAC’).

    We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural values.

    Remote Working?N / A - pending TWWW agreement

    Your skills and experience

    You are expected to be a well-seasoned compliance professional having in depth knowledge and experience in compliance for AM business.

  • Degree holder in Accounting, Law, Computer Science / Information System or related fields
  • Minimum 4 years compliance / risk / project management experience in global investment banks, securities firms or fund management companies or regulatory bodies
  • Outstanding knowledge of rules and regulations relating to AM, equities and fixed income business
  • Extensive products / market knowledge of equities and / or listed derivatives
  • Proven ability to independently drive responses to regulatory / exchange compliance issues / queries
  • Accomplished awareness of controls and governance
  • Highly motivated, a phenomenal team-player
  • Ability to work in partnership and build positive relationship with business, shared services and other members in legal and compliance departments
  • Strong communication and interpersonal skills
  • Comprehension of Chinese language and mandarin speaking is an advantage but not mandatory as this role will be required to deal with our China business
  • Result oriented, dedicated, hardworking who can work on own initiative and can deliver on time under pressure with a high level of integrity and flexibility, sense of urgency, attention to detail and quality standards
  • Dedication to fostering an inclusive culture and value diverse perspectives.
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