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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Government and Government Relations
Insurance Coverage
5-8 yrs required
Vice President, Head of APAC Trade Surveillance, Asset Management Compliance, Hong Kong RESPONSIBILITIES: Lead and supervise the APAC Asset Management Compliance Surveillance Team in the execution of Global Transaction Surveillance Program within APAC. Design and execute the Global Transaction Surveillance Program to check regulatory/compliance controls for compliance with relevant regulations and internal policies and procedures. Develop surveillance program on dealing systems e.g. electronic & alternative trading systems (e.g. Triton, Algo, DMA), fixed income dealing systems. Develop global in-house trade surveillance platform and design global trade surveillance program; coordinate and liaise with the Head of Asset Management Trade Surveillance and the Asset Management Trade Surveillance Program Director. Identify, discuss and monitor compliance issues and related remediation activities to ensure timely resolution and implementation of effective remediation controls. Substantiate and report results and findings of surveillance tasks to management in a precise and concise report format. Monitor the status of implementation of corrective action and where issues are not implemented in line with agreed timelines, escalate to the Head of Asset Management Trade Surveillance and Asset Management Trade Surveillance Program Director. Coordinate and lead meetings with front office business areas, Compliance Advisors, and other relevant parties. Develop and enhance existing compliance policies and procedures with a focus to establish consistent global best practices. Liaise with fund managers, dealers and other control parties to resolve dealing errors. Carry out compliance investigations in relation to trade surveillance as needed.
Qualification and Experience
Qualifications: Degree in law, accounting or finance related subject. 5-8 years experience in finance related field, experience in compliance, audit or other control related functions. Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business leaders, control functions and corporate partners. Strong analytical, problem-solving and organizational skills, as well as the ability to manage several simultaneous projects. Experience in dealing room surveillance and knowledge in electronic trading (e.g. EMS, Algo, DMA) and Bloomberg system is an advantage. Strong sense of ownership and responsibility. Good English oral and writing skills. Fluent in English and Cantonese. Proficient in Mandarin is an advantage.
Req #: 170009420
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