Espace Recruteurs

Compliance Associate/Senior Compliance

Cambridge Associates Asia Pte Ltd
Hong Kong
Mise en ligne il y a 2 jours Hybride CDI Competitive + Bonus
Y
Mise en ligne par
Yvonne Tan
Recruiter

Firm Overview

We are a leading global investment firm and aim to help endowments & foundations, pension plans, and high net worth private clients implement and manage custom investment portfolios that generate outperformance and enable them to maximize their impact on the world. Working alongside its early clients, Cambridge Associates pioneered the strategy of high-equity orientation and broad diversification, which since its inception in the 1980s has been a primary driver of performance for institutional investors. Today, we deliver a range of portfolio management services, including outsourced CIO, non-discretionary portfolio management, investment staff extension, and asset class mandates. Cambridge Associates maintains offices in major financial centers across the globe, with headquarters in Boston, MA.

Working with some of the world’s most sophisticated institutional investors, we bring a deep knowledge of portfolio management best practices to the clients we serve and select our colleagues with great attention to their potential to become a valuable member of a collaborative, intelligent and hard-working team.

 

Position Overview

Reporting to the CCO and under the guidance of the Head of Legal & Compliance (APAC), the (Senior) Compliance Associate is responsible for the coordination, ongoing development and administration of employee reporting, web-based compliance training, and anti-money laundering (AML) and customer due-diligence programs for the Firm’s APAC entities and their clients. The (Senior) Compliance Associate will also participate in the development and implementation of the Firm’s overall compliance and corporate reporting program in APAC.

 

Job Responsibilities

  • Responsible for new employee training and reporting requirements, serving as a resource for employees with compliance and ethics questions.
  • Initiate and manage quarterly firm-wide certifications and assist employees to ensure timely completion.
  • Work with other departments within the Firm on AML issues and client due diligence.
  • Assist employees with data entry, opening and closing of accounts, stock splits, trade confirmation.
  • Ensure that all compliance matters are properly investigated, and that appropriate action is taken and documented.
  • Prepare and present timely, accurate and objective reports to senior management as required.
  • Complete all regulatory filings for the Firm’s APAC entities.
  • Assist on periodic updates to the Firm’s Compliance Manual, Disclosure Documents.
  • Provide advice and guidance to regulated staff on marketing, servicing, reporting and other critical elements of CA’s service model
  • Review of marketing material.
  • Liaising with the APAC and Global Risk committees.
  • Support APAC Head of Legal and Compliance, Chief Compliance Officer and Chief Legal Officer as necessary.
  • Perform other ad hoc responsibilities as assigned.


Qualifications

  • Appropriate degree
  • Preferably 2-3 years (3-5 years for a Senior Compliance Associate) of compliance related experience with a registered investment advisor or regulator in Asia (preferably HK SFC).
  • Ability to meet deadlines and work well independently
  • Strong organizational skills and attention to detail
  • Ability to communicate with employees at all levels of the organization


All applications MUST include a resume and a cover letter for consideration.

 

Please apply directly to:

ttps://phe.tbe.taleo.net/phe02/ats/careers/v2/viewRequisition?org=CAMBRIDGEASSOCIATES&cws=47&rid=9188

 

Cambridge Associates is an equal opportunity employer. Diversity and inclusion are essential elements of our culture. We are committed to fostering an environment where individual perspectives, backgrounds, and life experiences make the firm a great place to work and result in a more satisfying client experience.

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