工銀資管(全球)有限公司

Asistant Compliance and Legal Manager / Senior Compliance Officer

工銀資管(全球)有限公司
Salary negotiable
Posted on 08 Jul 2020

Asistant Compliance and Legal Manager / Senior Compliance Officer

工銀資管(全球)有限公司

Job Highlights

  • Top-tier Chinese asset management firm
  • Extensive Legal and Compliance work exposure
  • CPA member and big four experience are preferred

Job Description

Responsibilities:
  • Responsible for the support of various legal services and legal risk management work, legal advice, contract management, legal risk factors, innovative business legal risk assessment, GAP analysis etc.;
  • Responsible for supervising relevant departments in accordance with the changes in laws, regulations and guidelines with timely assessment as well as improving the internal management system and business processes;
  • Responsible for the company and its staff compliance management by making regular and irregular inspection, internal audit findings and remediation;
  • Responsible for reviewing the company's important internal rules and regulations and business procedures in accordance with laws and regulations, regulatory provisions and industry rules change and development, the formulation or revision of internal rules and regulations and business procedures recommendations;
  • Responsible for organizing compliance risk monitoring, identifying, assessing and reporting compliance risks;
  • Responsible for preparing and conducting compliance training to promote operators to comply with the Code of Conduct;
  • Responsible for maintaining daily work contact with regulatory agencies, feedback on relevant comments and suggestions;
  • To deal with complaints about violations of the law and regulations by companies and staff, etc.;
  • Responsible for monitoring and ensuring that investment behavior complies with relevant laws and regulations, regulatory regulations, industry norms, delegate guidelines, company systems, and reduces the risk of illegal operations;
  • Responsible for the day-to-day company secretary of the company and funds;
  • Responsible for reviewing marketing materials and agreements and conducting anti-money laundering compliance checks;
  • Responsible for the company's compliance management, the establishment of compliance monitoring, analysis, Bloomberg early warning system, Bloomberg settings, lead organizations on business development compliance monitoring and analysis;
  • Responsible for issuing compliance review opinions on the internal management system, major decisions, new products and new business plans.

Requirements:

  • Bachelor's Degree holder or above in Economics, Finance, Accounting or related fields;
  • Candidates with less experience will be considered as Senior Compliance Officer;
  • Candidates with CPA Membership are preferred;
  • With 5 years of above relevant work experience preferably in financial industry;
  • Work Experience in big four accounting firms will be a plus; 
  • Familiar with MS Office, strong communication and problem-solving skills are preferred; and
  • Good command in written and oral English and Chinese including Putonghua.

Please click "Apply Now" to submit your application with CV attached stating both the existing and expected salary.



Additional Information

Career Level
Middle
Qualification
Degree
Years of Experience
5 years
Job Type
Full Time, Permanent

Company Overview

ICBC Asset Management (Global) Company Limited is the subsidiary of ICBC (Asia), a leading investment firm across the world. Our dedicated Investment team has achieved outstanding track records with superb performances which has years of reputable investment experience. Being the product, sales, research and risk center, our extensive investment experience and a global mindset enable the team to identify subtle market trends and intricate investment opportunities in today's fast moving financial markets. Moreover, as an investment house based in Asia, our local expertise in the region gives us an added edge in providing professional services to our institutional and retail clients.

Backed by the biggest bank in the world in terms of market capitalization, ICBC Asset Management (Global) has enormous financial resources and full commitment from our banking giant. This special relationship also provides us an access to gain special insight into China economy and various competitive sectors as well as their latest development. We become the expert in introducing global clients for “China Story” “China Opportunity” and providing “China Solution”.

Incorporated as an asset management company in Hong Kong, ICBC Asset Management (Global) Company Limited is licensed under Securities and Futures Ordinance to carry out Type 4 (Advising on Securities), Type 5 (Advising on Futures Contracts) and Type 9 (Asset Management) regulated activities.

We are inviting high caliber talents to develop and take part in the growth of our business:

Additional Company Information

Benefits & Others
Dental insurance, Five-day work week, Life insurance, Medical insurance, Performance bonus