Compliance Executive

  • Not Specified
  • Hong Kong
  • CDI, Plein-temps
  • Invesco (Hong Kong) Limited
  • 21 sept. 17

Invesco is a leading global asset management firm with more than $830B* in assets under management. We provide our retail and institutional clients a diverse and comprehensive range of investment capabilities to help people get more out of life. Invesco is publicly traded on the

Invesco is a leading global asset management firm with more than $830B* in assets under management. We provide our retail and institutional clients a diverse and comprehensive range of investment capabilities to help people get more out of life. Invesco is publicly traded on the New York Stock Exchange (IVZ) and has about 7,000 employees in over 20 countries. (*As of March 31, 2017)


GENERAL PURPOSE OF POSITION
To provide a timely and efficient executive, secretarial and administrative support to HKG Compliance team.
 
PRIMARY DUTIES AND RESPONSIBILITIES

  • Provide support to the Compliance Team to ensure compliance with all applicable laws and regulations;

  • Regularly keep track on notable events/changes  which may trigger notifications to regulators including SFC, FSS, SEC, CSRC and SEBI and arrange such notifications to be made on time;

  • Assist in developing and implementing compliance programs, policies and procedures;

  • Assist in post-authorization matters for SFC-authorized investment products and other regulatory reporting;

  • Prepare other periodic or ad hoc reports and presentation materials as required

  • Expense claims and arrange payment of regulatory fees;

  • Responsible for booking flights/hotels for overseas travel and ensuring travel approval has been obtained;

  • Provide assistance and organizes luncheons/meeting for any group meetings with related parties or business associates;

  • Filing as necessary;

  • Other ad hoc projects and tasks as requested.



POSITION QUALIFICATIONS



  • Degree holder or above, preferably in accounting, finance, law or business related disciplines; 1-3 years of relevant experience in the financial services industry is desirable

KEY COMPETENCIES

  • He/she must have a strong communication and interpersonal skills for collaborative work with inter-departmental and external parties;

  • He/she must be a good team player and able to work independently under pressure;

  • Sound organizational ability and be able to manage time effectively and prioritize work;

  • Self-motivated, able to work under pressure and high spirit of teamwork (i.e. working well on an individual basis as well as part of the team)

  • Good command in both written and spoken English and Chinese (including Mandarin);

  • Good and positive working attitude;

  • He/she must have good Word, PowerPoint, Excel, and Outlook skills