Credit Suisse Asset Management HK Compliance Officer #094849 in Hong Kong, Hong Kong
You the opportunity to provide general advisory pertaining to asset management (AM) business enquires, including but not limited to cross-border marketing and distribution in APAC, regulatory requirements and Credit Suisse policies and procedures.
You the expectation to review and approve marketing materials for dissemination to AM clients/prospects and via channel distribution in APAC and ensure compliance with the relevant rules and regulations.
You the need to conduct regular trade surveillance tasks such as automated alerts clearance, cross trades and personal account trading surveillance, fact-finding via other systems and businesses, and preparation of Monthly Management Information Governance Report and other relevant management reporting requirements. Promptly raise any concerns and/or issues where necessary.
You the opportunity to be actively involved in developing and executing the monitoring, surveillance and testing framework for AM businesses in APAC.
You the chance to collaborate with Global AM compliance teams, Core Compliance Services, Financial Crimes Compliance and Control Room as necessary in the coverage of AM APAC Businesses and assist with the necessary actions (investigations/disciplinary actions) as required.
You will need to prepare and organize training programs for AM business to keep abreast of the latest regulatory developments.
You the responsibility to prepare regulatory reporting for timely submission to the relevant regulators in APAC.
You the occasion to assist in reviewing and assessing the impact of new and/or revised regulatory requirements in consultation papers and proposed CS policies on AM business.
You the opportunity to participate and assist in the continuous review of the AM Compliance Program and support the Compliance team in running new business initiatives and projects.
Degree holder in Accounting, Law, Computer Science/Information System or related disciplines
Minimum 4 years compliance / risk / project management experience in global investment banks, securities firms or fund management companies or regulatory bodies
Excellent knowledge of rules and regulations relating to AM, equities and fixed income business
Extensive products/market knowledge of equities and/or listed derivatives
Ability to independently drive responses to regulatory/exchange compliance issues/queries
Accomplished awareness of controls and governance
Highly motivated, a team-player and results orientated
Ability to work in partnership and build positive relationship with business, shared services and other members in legal and compliance departments
Strong communication and interpersonal skills
Comprehension of Chinese language and mandarin speaking is an advantage but not mandatory as this role will be required to deal with our China business
Title: Asset Management HK Compliance Officer #094849
Location: Hong Kong-Hong Kong-Hong Kong
Requisition ID: 094849