The Firm is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
The Firm's Investment Management [“IM”], together with its investment advisory affiliates, has 665 investment professionals around the world and more than $4 billion in assets under management or supervision as of June 30, 2019. IM offers investment expertise across a broad spectrum of global equities, fixed income, alternatives and real estate strategies. Professionals within the Legal and Compliance Division provide a wide range of services to our internal and external stakeholders. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm’s invaluable reputation for integrity and protect the Firm from sanctions with a Legal and Compliance framework that meets regulatory requirements. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm’s businesses.
Background of the Position
We are looking for a high caliber individual to join the IM Asia Compliance team and cover the Compliance program enhancement within Investment Management (IM).
- Responsible for coordinating and managing the implementation of the compliance projects, which includes compliance program assessment and remediation
- Organise and manage deliverables. Review, monitor and control project work to ensure they remain in scope, up-to-date and meet compliance requirements
- Assist in formulating and revising compliance policies and procedures in English and simplified Chinese
- Developing training materials and conduct training sessions; communicating compliance/ regulatory updates to the business
- Bachelor’s degree
- At least 5 years of relevant experience in Compliance or related investment management industry experience - Strong oral and written communication skills in English and Mandarin (Simplified Chinese) is mandatory
- An analytical mindset with attention to details with ability to multi-task and remain organised in a fast-paced environment
- Experience in project management will be advantageous
- Ability to independently interact with senior business management, colleagues across regions and Business Units
- Strong team player and ability to operate in an international environment
- There will be some travel to China
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