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Compliance Monitoring Manager

Job Title: Compliance Monitoring Manager
Contract Type: Permanent
Location: Shanghai, China
Industry:
Salary: 2 months - 4 months
Reference: AZ22807_1554366800
Contact Name: Andy Zhi
Contact Email: azhi@profileasia.com
Job Published: April 04, 2019 16:33

Job Description

 

 

Our client is a top tier global asset manager.

 

 

 

Assurance and Oversight

 

  • Actively supporting the development and execution of a compliance monitoring framework to ensure delivery of high quality monitoring and assurance across the company's products, business lines and distribution channels for China in an efficient, effective and globally consistent manner.
  • Conducting risk-based, limited focus and regular ongoing testing/monitoring.
  • Monitoring FIL's trading and other investment activities and investigates exceptions and incidents which include, but not limited to, best execution, fair allocation, market misconduct, information barriers, conflicts of interest and so forth.
  • Investigating, analysing and providing resolution to breaches and investment processes.
  • Participating in more in-depth monitoring reviews, sometimes covering complex areas of the business, providing assurance that business and investment controls align with regulatory requirements.
  • Ensuring all working papers are properly prepared, suitable and clearly presented recommendations made when necessary and quality reports issued to senior management.
  • Ensuring the timely and appropriate escalation of issues and tracking actions to ensure effective and timely implementation.
  • Actively support creating and ongoing maintenance of 'regulatory footprint' and a consistent regulatory risk assessment methodology for the China business and investment activities.
  • Maintaining an appropriate level of technical understanding of relevant regulation and keeping abreast of regulatory changes and developments and upcoming changes in regulatory and market practices.
  • Conduct investigations and other ad-hoc projects as required.
  • Participate in key business as usual activities.
  • Produces metrics for senior management information.

 

Collaboration

 

  • Building relationships with the relevant business areas and other oversight groups, particularly in relation to the planning and implementation of reviews.
  • Co-ordinating with broader compliance teams for monitoring work carried out in other overseas offices, where appropriate.
  • Participates and contributes positively in various business initiatives and ad-hoc projects.
  • Foster a cohesive, creative, and efficient working environment within the team in which people can do their best work.

 

Experience and Qualifications Required

  • Graduate with 6-8 years of work experience in financial services (ideally asset management) with experience in a monitoring and assurance or audit role preferred (including front office monitoring experience, ideally using market leading Compliance Monitoring and Market Surveillance tools).
  • Strong communication and inter-personal skills. This role must be able to work with team members and internal stakeholders across various levels and in different offices/ locations. The candidate will be required to be professional, confident, confidential and discreet.
  • Deep understanding of a variety of concepts, practices, and procedures related to asset management business and investment activities.
  • Strong eye for detail with the ability to produce accurate, well-structured reports according to deadlines.
  • Strong analytical skills, problem-solving ability and attention to detail.
  • Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.
  • Excellent English and Mandarin (both verbal and written), with experience in reports and business writing. Knowledge of any other regional languages will be an advantage.