Lead Analyst, Regulatory Oversight mgmt

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • The Bank of New York Mellon
  • 30 Jan 18 2018-01-30

Support management in the day-to-day control efforts related to regulatory, legal policies, procedures and practices.

Responsibilities:

  • Support management in the day-to-day control efforts related to regulatory, legal policies, procedures and practices.
  • Perform all assigned tasks specific to assigned product and region, including, but not limited to initial reviews and analyzation of the most complex documents (TA and Fund of Funds), suspicious transaction monitoring (e.g., third party transaction wires, early redemptions, etc.), regulatory filings, etc.
  • Perform secondary review of work done by other Regulatory Control staff to ensure regulatory compliance with applicable laws and regulations related to the assigned products and assigned region.
  • Liaise with clients and/or internal staff regarding any of the assigned Regulatory Control tasks.
  • Maintain a mastery knowledge level of regulatory matters specific to their product and region in order to assist AIS Regulatory Control staff in their review and analyzation of subscription documents
  • Liaise with AIS clients regarding regulatory filings (specific to product and region).
  • The Incumbent would also be integrally involved in the audit and Compliance monitoring process
  • Other ad-hoc projects that may be mandated by Global Regulatory or AML Compliance.
  • Knowledge of SFC, MAS, FSA and CBI AML requirements would be an advantage.
  • Previous experience in Retail Fund is preferable.

Qualifications:

  • Bachelor’s Degree
  • Either 5+ years relevant work experience including at least 2 years in Finance and/or Compliance or a Law Degree