COMPLIANCE ANALYST, ASSESSMENT & TESTING

• Well established international Asset Management Firm
• Excellent Career Opportunity

Our client is an international asset management firm with an unparalleled reputation across the Asia Pacific region. With the continued growth of the organization, the need has arisen to recruit a high calibre candidate to join them.

Primarily accountable for the Compliance Assessment and Testing.

• Perform testing on targeted assessments and policy reviews to inform the business as to potential regulatory and reputational risks. The compliance themes addressed by these projects include portfolio management, trading practices, accuracy of disclosures, ESG and sustainability initiatives, privacy, and records management.
• Perform testing on targeted assessments and policy reviews to inform the business as to potential regulatory and reputational risks. The compliance themes addressed by these projects include portfolio management, trading practices, accuracy of disclosures, ESG and sustainability initiatives, privacy, and records management.
• Conduct regulatory exam preparedness exercises, including mock exams.
• When needed, collaborate with local compliance teams on actual regulatory examinations and ad hoc investigations into potential misconduct.
• Perform validation testing of regulatory exam and audit findings.
• Complete periodic, transactional and forensic testing.

To be considered, you should be a degree holder in with around  2 to 4 years of experience in compliance, risk, or audit with testing internal controls within financial services industry, ideally with asset management experience. Familiarity with trading systems, ESG data service providers and data analytics tool is a plus. Good communications skills,

Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk quoting reference eFC3480.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)