Job No.: 499192
Employment Type: Full time
Departments: BOCHK Asset Management Ltd
Job Functions: Asset Management
Responsibilities:
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Assisting the team to prepare/review the company's risk management policies, anti-money laundering policies, compliance policies, procedures and work guidelines, and prepare staff training materials
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Assisting the team to deal with daily operations, compliance-related, operational risk and anti-money laundering monitoring reports, etc.
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Coordinate with the introduction of new policies/projects of the Group, and work closely with relevant front-line unit
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Work closely with relevant front-line personnel, compliance personnel, operational risk personnel and other relevant personnel in the process
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Conduct execution of business inspection work, and review the client on-boarding due diligence documents, employees’ transaction records and licenses, etc. Monitor abnormal situations from daily operations and respond in time, early warning monitoring for risk prevention
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Review and check portfolio trading records to ensure internal and regulatory requirements
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Handle and response to inspections, reports and inquiries from regulators of compliance work
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Assist in formulating Anti-Money Laundering Compliance checks and implementing related inspections, identifying weak links in control, and proposing and implementing improvement suggestions
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Perform ad hoc tasks and projects as assigned
Requirements:
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Degree or above with major in Finance, Risk Management, Law or related disciplines
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At least 3 years relevant experience, preferably in asset management or banking industry
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Good understanding and knowledge of economy, law, finance, financial management, and be familiar with economic and financial laws and regulations and policies
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Good communication skills, good comprehensive analysis, coordination and negotiation ability
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Good command of spoken and written English, Mandarin and Cantonese