Key Responsibilities
Advise, guide and support all departments’ operating systems to comply with rules and regulations of the SEC, AIMC and related regulators in asset management business. Prepare procedures to implement policies adopted, facilitate the development of policies, operating procedures to carry out its business strategies in compliance with applicable laws and regulations. Perform compliance checks on regulatory requirements. Responsible for internal Oversee compliance activities and issues (compliance incidents/customer complaints), review and update internal compliance policies and procedures, provide advice to all Business Units (BUs)
- Assess and review in accordance with Compliance Monitoring Program for exceptions and weaknesses in departmental compliance and operational process to ensure the company’s compliance with legal, regulations, and rules.
- professional organizations or even a company's internal guidelines
- Conducting operational audit as assigned
- Understanding levels of potential risks and how to address each risk
- Supervise and coaching team
- Internal training to company employee and subordinates
- Performing data analysis or quality assurance
- Assist in the preparation for coordinate and assist in the response to S.E.C. and related regulators examinations as required
- Support other tasks as assigned
Qualifications
- Master’s degree in Accounting, Business Administration, Finance, Economics or related fields
- At least 5-7 years’ experience in Asset Management business including related regulatory and compliance /Market Risk/Investment Risk will be an advantage.
- Great interpersonal and communication skills. Reliable, open minded and ability to effectively collaborate with diverse people such as business units.
- Ability to prioritize, manage time and work under pressure.
- Strong financial and Risk modelling Analytics skills, and monitor trading activities to comply with Risk Control of Portfolio
- Good in English speaking and writing
- Good in computer skills and standard computer programs