Good compliance is good business, especially in an organization which places great store by its long-term view and its reputation in the modern world of heightened regulatory pressure. Working in Compliance can be an excellent diverse business training in Asset Management as compliance issues are now commonly at the heart of business strategy, management and control.
What You Will Do
The Compliance Function is responsible for managing the Schroders’ relationship with its financial regulators, advising colleagues on often complex regulatory requirements, monitoring compliance and helping Schroders to manage its regulatory and reputational risks.
This is a Hong Kong-based compliance function, which is principally concerned with the regulatory requirements and expectations of the overseeing policy and practice to address regulatory requirements set by the Securities and Futures Commission and UK regulations where Schroders is lead regulated.
Compliance staff members work actively with staff members in all areas of the business, including Fund Managers, Analysts, Marketing, Operations, Legal, Finance, HR and Risk in addressing regulatory issues, the effective management of which is now so significant to the success and prosperity of a major financial services business.
A graduate trainee in Compliance would contribute to and gain experience of the function’s role in working with business colleagues across the above areas.
Tasks might include - Analyzing the impact on Schroders of a new regulation; preparing training courses; handling compliance clearances for staff in any business area; managing notifications to regulators; reviewing marketing material; visiting and helping to review outsourced service providers; handling of substantial shareholding disclosure; assessing compliance with various key regulatory requirements.
There are likely to be opportunities to work overseas for a period of time in appropriate cases.
Required Skills and Abilities
- Graduates with a strong academic record, including a 2:1 Honor's degree or above/equivalent.
- Candidates with finance, economics or accountancy would be highly preferred.
- Genuine interest in the business of investment management and the legal, regulatory and risk management environment in which it is conducted.
- Strong interpersonal skill with the ability to establish and maintain effective business relationships with key stakeholders.
- Good organizational and project management skills to manage different tasks with competing deadlines.
- Solid analytical skills with attention to details.
- Ability to work under pressure and in a fast-paced environment.
- Reliable, self-motivated.
- Good written and oral communication skills in English & Chinese including Mandarin.
- Able to work well independently and within a team.
- Job type:Graduate Jobs
Accounting, Banking and Finance, Economics
Hong Kong (Hong...
- Closing Date:29th Dec 2020, 6:00 pm