AVP Core Compliance AVP Core Compliance …

ALS International
in Hong Kong
Permanent, Full time
Last application, 25 Nov 21
Attractive
ALS International
in Hong Kong
Permanent, Full time
Last application, 25 Nov 21
Attractive
Posted by:
Suwarti Karnati • Recruiter
Posted by:
Suwarti Karnati
Recruiter
Our client is a well-known International Financial Services currently looking for a high calibre candidate to join their Core Compliance team. This role comprises of licensing, registration, personal account dealing, and gifts and entertainment matters for the Asia Pacific region.

Key Responsibilities:

  • Performing a variety of activities to facilitate and monitor compliance with the Firm’s Code of Conduct and other core compliance policies such as personal trading, gifts and entertainment, political contributions, and anti-money laundering monitoring.
  • Reviewing employee disclosures, personal account dealings, and gifts and entertainment requests to identify potential conflicts of interest and determine appropriate resolutions.
  • Serving as day-to-day lead for general compliance inquiries from employees across the Firm.
  • Assist with licensing, examination and CPD hours tracking, and registration filings with regional regulatory authorities and routine requests from regulators, exchanges, and agencies.
  • Assist with the drafting and regular review and improvement of internal processes and procedures. Monitoring compliance with applicable laws, including reviewing new guidance or regulations to assess the impact on the Company.
  • Ensuring compliance with internal control requirements.

To qualify for this role, you must have the following requirements:

  • University-level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal) with around 3-4 years of working experience.
  • Proficiency with databases, Tableau and Excel, strong analytical skills with attention to details
  • Adaptable, flexible to changes and the ability to work in a fast‐paced environment
  • Strong interpersonal skills, with the ability to communicate effectively with different stakeholders

If you are interested in this role, please send your cv to d.lim@alsrecruit.com .  Only shortlisted candidates will be notified.

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