VP - Asset Management North Asia Compliance
Credit Suisse
Hong Kong, Hong Kong
4天前

Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations.

Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice.

Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.

We Offer

You will have the responsibility of :

  • providing critical advice to new business initiatives, policies and procedures and internal controls and work together with Asset Management ("AM") APAC Business on commercially viable, compliant and sustainable solutions;
  • implementing the AM Compliance Program including but not limited to providing licensing advice, monitoring, surveillance and testing, regulatory reporting and filing, analyzing and implementing projects and other general 2nd line of defense function activities;
  • managing and monitoring AM Business for regulatory incidences, developments and changes, and supervise the appropriate read across of regulatory findings, reprimands, notices and guidelines by the regulators where appropriate;
  • acting as contact person to the regulators (as applicable) and internal audit teams;
  • developing in-depth understanding of the organizational structure and behaviors for the optimal implementation of strategic enhancements of processes and improvements;
  • developing or updating annual compliance training plan that includes succinct training materials to aid AM Business in understanding key issues and required processes and procedures in order to be in compliance; and
  • providing high level oversight and communication with China JV partner.
  • covering the AM Businesses operating in HK and North Asia (ex-Japan) and can be based in either HK or Singapore.
  • 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')

    You will also mentor the junior AM HK Compliance officer in providing compliance advisory and support on investment management, marketing, distribution, cross border, regulatory and other activities pertinent to the AM Business in 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.

    You Offer

    N / A - pending TWWW agreement

    Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.

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