Job descriptions

• Perform compliance investment monitoring processes to ensure regulatory, investor, and client requirements are met, delivering meaningful and value-added services under the Fund Supervisory service
• Provide compliance monitoring and advisory support across Securities Services business
• Identify, assess, and prevent operational risk events within the function by implementing effectively controls and escalating material risks appropriately
• Manage communication with clients and regulators effectively and professionally to ensure accurate and timely information sharing and regulatory response
• Review and facilitate client’s requests such as fast-track prospectus approval, dividend payment processing, Related Party Transaction (RPT) disclosures, ensuring compliance with regulatory expectations
• Demonstrate ownership and facilitate ongoing improvement initiatives within business functions, contributing to operational efficiency, service quality and internal control enhancement
• Eager to acquire new knowledge and stay abreast of asset management and fund supervisor’s regulatory changes and able to assess the impact to the client and Securities Services business
• Develop, maintain, and regularly update standard operating procedures, manuals, and internal guidelines to reflect current regulations and practices
• Undertake additional responsibilities or projects as assigned by supervisors or management, supporting departmental and organizational goal

Qualifications

• Bachelor’s degree or Master’s degree preferable in Accounting, Finance, Law and other related field

• More than 5-7 years on working experience
  More than 3-5 years experiences in Asset Management, Securities Services industries
  More than 3-5 years of leadership experience

• Skills and knowledge in rules and regulations related to Securities Services Business especially Fund Supervisory Service
• Knowledge in capital and money market specially under Asset Management and Securities Services business
• Strong communication, persuasion, negotiation, interpersonal and leadership skills
• Flexibility, able to embrace changes constructively