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
Personal Account Dealing
Order handling, execution, allocation and recording
Market abuse and misconduct
Data protection and professional confidentiality
Training and education of staff
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
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 .