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Assistant Manager - Business Analyst (Investment Compliance focus)

Post Date : 2020-03-13 Our Accounting/Auditing client is looking for a Assistant Manager - Business Analyst (Investment Compliance focus) to join they team in Wong Tai Sin Area.

Job Reference : MHK-13582
Industry : Accounting/Auditing
Salary Range : $30,000 - $34,999
Job Location : Wong Tai Sin Area
Employment Type : Full Time
Qualification : Bachelor

Job Responsibilities

  • Manages the Investment and Transformation Compliance projects
  • Manages the daily operations of the Investment Compliance function, including the review of rule coding and monitoring processes
  • On-going monitoring of appointed external Investment Manager’s compliance functions to identify compliance issues
  • Propose different technical tools for enhancing the compliance management and system
  • Demonstrates a proficient understanding of all aspects of the investment compliance monitoring program, surveillance, portfolio compliance monitoring and personal dealing
  • Demonstrates good knowledge of regulations across various jurisdictions in the APAC region; oversee client investment mandate requirements are appropriately documented and monitored
  • Provides support and prepares reports to management; works closely with legal and internal audit teams on risk and compliance issues and provides guidance on assessing and mitigating risks
  • Assess information and technology to automate compliance controls, allow for more timely identification and response of compliance matters and increase data quality and linkages for enhanced analytics and predictive measurement
  • Develops long and short term plans in accordance with the compliance strategy and project execution to effectively 
  • Works closely with IT team and service providers on planning, design and execute compliance projects

Job Requirements

  • 5+ years of experience in financial services industry, preferably in insurance firms
  • In-depth investment/securities knowledge, including derivatives
  • Passionate in business analyst and compliance
  • Ability to develop, recommend and implement alternative solutions to complex problems
  • Good command of written and spoken English
  • Excellent communication and interpersonal skills, as well as the ability to manage competing priorities and deadlines
  • Self-motivated and self-reliant; must work well independently and take initiative with assigned responsibilities
  • Excellent analytical skills, ability to identify trends, process improvements and to manage change

Interested parties please send your full resume to AND Personal data collected will be used for recruitment purpose only and all applications will be treated in strict confidence.