PERSONAL ACCOUNT DEALING / ETHICS COMPLIANCE - ASSOCIATE DIRECTOR PERSONAL ACCOUNT DEALING / ETHICS COMPLIANCE -  …

Recruitment Intelligence Consultants Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 02 Jul 20
competitive package
Recruitment Intelligence Consultants Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 02 Jul 20
competitive package
An international asset management firm is looking for a high calibre candidate to join as Personal Account Dealing/ Ethics Compliance - Associate Director. The position is based in Hong Kong.
  • Well established international Asset Management Firm
  • Excellent Career Opportunity

Our client is an international asset management firm with an unparalleled reputation across the Asia Pacific region. With the continued growth of the organization, the need has arisen to recruit a high calibre candidate to join them

You will be responsible for executing Code of Ethics programme, pursuant to the Global Code of Ethics across Asia to provide dedicated, real-time expertise and support to the Asia population. You will assist in identifying and managing potential conflicts of interest that can exist in the asset management industry related to their own personal activities such as personal trading, shared business entertainment & gifts, outside business activities.  Responsibilities include real-time monitoring of Code of Ethics administrative system activities, review of exceptions detected in monitoring, responding to inquiries raised on the Code and related policies as well as on-boarding countries & jurisdictions not currently covered under the Code.  Lastly, you will ensure consistency and application of best practices across all countries & jurisdictions in Asia and to raise awareness of Code of Ethics and its related reporting obligations to local leadership and employees.

To be considered, you should be a degree holder with a minimum of 8 years of compliance / regulatory experience within financial services.  Previous experience within asset management setting would be a strong plus.   You should possess specific knowledge of global regulatory requirements driving Code of Ethics policy together with the ability to balance business needs with regulatory requirements.  Knowledge of StarCompliance, familiarity with compliance/trading systems is a plus.

Interested applicants should send a detailed resume to Michelle Ho by email to mho@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC3158.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)

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