Job ref no.: CT3126127-01#1399

Compliance Analyst (Client and Marketing focused)

Wellington Management Company LLP


POSITION

We are seeking a compliance professional with good foundational compliance experience in the financial services industry to help establish the marketing compliance function in Asia Pacific (APAC). Based in Hong Kong, the Compliance Analyst will report to the Compliance Officer for Hong Kong. As a member of the APAC Legal and Enterprise Risk Management team, the Compliance Analyst will provide regulatory advice and support to the client facing teams in their sales and distribution activities in the region.

RESPONSIBILITIES

The Compliance Analyst's core responsibilities will include the following:

  • Providing regulatory advice and support to the client facing and marketing teams on fund distribution and marketing activities with clients in APAC
  • Review of marketing materials used in the APAC ex-Japan region with clients
  • Drafting and implementing policies and procedures together with the Marketing Compliance teams in the Americas and EMEA
  • Developing and conducting regulatory training on sales and marketing activities
  • Engaging business colleagues on suggested enhancements to supervisory processes and internal controls and implementing agreed enhancements with the business
  • Participating in department or cross-functional initiatives pertaining to sales and marketing activities

The individual may also be involved in the following:

  • Participating in other department or firm-wide project-based initiatives
  • Cross coverage for colleagues as appropriate

QUALIFICATIONS

  • Around 5 years of compliance experience working with international financial institutions, with experience at global investment management firms a plus
  • Good understanding of financial instruments with experience in applying that knowledge in reviewing marketing materials for Institutional and/or Retail clients
  • Highest personal and professional integrity and ethics
  • Flexibility and openness to continue learning, evolving and growing
  • Ability to effectively prioritise, produce consistently accurate work and meet strict deadlines
  • Ability to apply analytical and decision-making skills in a collaborative environment
  • Strong communication and interpersonal skills; good business acumen
  • Self-motivated, enthusiastic and strong interest in investment products
  • Strong academic credentials
  • Written and spoken Chinese language skills are required

Interested parties please click Apply Now to apply job.

As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law . If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us .

 

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More job information
Job ref no. CT3126127-01#1399
Salary
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 5 years
Career Level
  • Non-management level
Education
  • N/A