Finance , Senior Associate
This role is within the Compliance team to manage the compliance advisory and risk management services within State Street Global Advisors. Key Responsibilities:
Basic Qualifications/ Skills:
- Coordinate and support the global regulatory change management process for APAC. Assess regulatory and business impact of such regulatory updates/changes. Collaborate with other teams and regions on regulatory change management and prepare bulletin, reports for APAC
- Support the licensing requirements, maintenance and training for employees in HK
- Assist in providing compliance advice on general regulatory matters such as cross-border selling restrictions for APAC. Review tailor-made retail fund marketing materials for distribution in APAC
- Participation in internal committees and working group meetings. Prepare quarterly reporting documents for submission to internal working group and board meetings.
- Assist in interacting with internal audit (e.g. meetings) for audit on Compliance function or other functions that will require Compliance input as well.
- Facilitate compliance team to respond to enquiries from local regulator from time to time for matters pertaining to the SSGA SFC-authorized funds and firm's view on prevailing industry-wide issue. Coordinate with internal SMEs to gather the relevant information to address the regulatory request
- Assist in preparing notification to the regulator for identified non-compliance issues and convey regulatory feedbacks to the internal senior management and SMEs.
- Assist in responding to RFPs, global requests regarding risk assessment, CRMT, etc.
- Graduate or Post Graduate
- Minimum of 3 to 5 years of work experience in financial industry
- Experience in Asset Management Legal & Compliance functions is preferable
- Inquisitive with experience in innovation, collaboration and a fast learner
- Has a risk mindset
- Strong verbal and written communication skills
- Self-starter, ability to work both independently and collaboratively, Team player
- Strong sense of ethics and personal integrity
- Attention to detail
- Flexible to work in different shifts