Foreign Bank - Regulatory Oversight Management [40K]
$40000 - 40000 / month
Central and Western District
5 September 2018
Banking and financial services
Our client is one of the multination banks with strong presence worldwide.
They are currently looking for a Regulatory Oversight Management to work closely with different internal parties.
- Support management in the day-to-day control efforts related to regulatory, legal policies, procedures and practices.
- Perform all assigned tasks specific to assigned product and region, including, but not limited to initial reviews and analyzation of the most complex documents (TA and Fund of Funds), suspicious transaction monitoring (e.g., third party transaction wires, early redemptions, etc.), regulatory filings, etc.
- Perform secondary review of work done by other Regulatory Control staff to ensure regulatory compliance with applicable laws and regulations related to the assigned products and assigned region.
- Liaise with clients and/or internal staff regarding any of the assigned Regulatory Control tasks.
- Maintain a mastery knowledge level of regulatory matters specific to their product and region in order to assist AIS Regulatory Control staff in their review and analyzation of subscription documents
- Liaise with AIS clients regarding regulatory filings (specific to product and region).
- The Incumbent would also be integrally involved in the audit and Compliance monitoring process
- Other ad-hoc projects that may be mandated by Global Regulatory or AML Compliance.
- Knowledge of SFC, MAS, FSA and CBI AML requirements would be an advantage.
- Bachelors Degree
- Either 3+ years relevant work experience
- Open to candidate with KYC/ Transfer Agency/ Compliance background
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
Hong Kong21st Floor, Nexxus Building
41 Connaught Road
Hong Kong Island +852 3653 7300