Compliance Officer Asset Management
Vontobel
Hong Kong
4天前

Your opportunity

  • Disseminate the compliance culture within the firm and provide input on SFC and MAS regulatory requirements
  • Ensure compliance of the Key Business Lines (Sales & Marketing, Investment Research and Advice, and Trading Desk) with regulatory standards.
  • Review marketing materials and work with the business to provide regulatory guidance on marketing and cross border sales activities in Asia

  • Help setting up the local hub of a global execution desk and implement compliance controls with regard to the trading activities
  • Identify compliance risks and assess the adequacy and effectiveness of internal controls
  • Perform the compliance monitoring program
  • Draft, update and implement local and global policies and procedures, including the Compliance Manual
  • Liaise with internal and external audit as well as external law firms and actively contribute to address requests from regulators
  • File SFC applications and reports
  • Ensure adherence to law, rules and standards in Hong Kong and Singapore with emphasis on the following :
  • AML / CFT and documentation and filing of clients
  • Conflicts of interest
  • Research
  • Personal Account Dealing
  • Order handling, execution, allocation and recording
  • Market abuse and misconduct
  • Remuneration
  • Investor complaints
  • Data protection and professional confidentiality
  • Training and education of staff
  • You bring

  • Master of law or equivalent, or Compliance Officer certificate and compliance experience
  • At least 5 - 7 years of experience as Compliance Officer in the Financial Services / AM Industry in an institutional context in the APAC region, with a focus in Hong Kong and Singapore
  • Excellent English skills
  • You are

  • Team player, results and solution oriented, self-directed and precise worker
  • Able to work in a standalone position with daily interactions with the Compliance Teams located overseas
  • A reliable and trusted person
  • Céline Lüssi is looking forward to receive and review your application.

    Please apply via our career portal. For this position, please note that we do not consider applications from recruitment agencies.

    If you have any question you can contact us through our .

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