Provide compliance support to the Compliance Team
Major responsibilities include:
- Monitor all trading activities in Bloomberg AIM, including the monitoring and investigation of all pre and post trade compliance issues. Provide resolution to breaches and investment processes.
- Investigate exceptions and incidents which include, but not limited to, best execution, fair allocation, market misconduct, information barriers, conflicts of interest and so forth.
- Ensure oversight of staff adherence to policies, such as personal account dealing, conflicts of interest policy, order execution policy and the gift and entertainment policy.
- Provides compliance training to investment professionals on investment guidelines/restrictions on regulatory updates and internal policies.
- Participate in cross-border sales and marketing compliance surveillance, including review of marketing materials distributed to China, Korea and Japan.
- Participate in regional / global projects.
- Handle licensing matters for the company and its individual employees.
- Monitor CPT hours required for the licensed representatives.
- Handle annual affirmation of all staff on compliance policies.
- Other ad-hoc task as assigned.
Requirements & Qualifications:
Approximately 3 to 5 years relevant Compliance, regulatory, audit experience or control/operational experience in financial institutions.
- Degree in accounting or finance related subject
- Strong attention to detail and quality
- Quick learner and ability to adapt to changes
- Has initiative to be able to develop the compliance function with the growth of the business
- Enthusiastic and be able to challenge behaviors.
- Good interpersonal and communication skills
- Fluent in English and Cantonese. Proficient in Mandarin is an advantage
Conning (www.conning.com) is a leading investment management firm with approximately US$197 billion in global assets under management as of December 31, 2020.* With a long history of serving the insurance industry, Conning supports institutional investors, including pension plans, with investment solutions and asset management offerings, risk modeling software, and industry research. Founded in 1912, Conning has investment centers in Asia, Europe and North America.
*As of December 31, 2020, represents the combined global assets under management for the affiliated firms under Conning Holdings Limited and Cathay Securities Investment Trust Co., Ltd. (“SITE”). SITE reports internally into Conning Asia Pacific Limited, but is a separate legal entity under Cathay Financial Holding Co., Ltd. which is the ultimate controlling parent of all Conning controlled entities.
Please apply in confidence with full resume to email@example.com
**Personal Data collected will be used for recruitment purposes only**