HGAM - Compliance Officer

HAITONG; Lisboa; Presencial; EUR 40 000 - 55 000; Tempo integral

Resumo da oferta

Haitong Bank is seeking a Compliance professional to join the team in Lisbon. The role focuses on monitoring the Company’s activities for regulatory and internal compliance, including UCITS, AIFM and MiFID II frameworks.

You will prepare regulatory information for senior management and authorities, monitor developments and support governance and training programs. The ideal candidate has up to 5 years’ experience in asset management or law firms with exposure to asset management, a Law degree,

Qualificações

• English fluency and regulatory knowledge are essential.
• Degree in Law is required.
• Strong analytical and problem-solving skills are needed.

Responsabilidades

• Assist in monitoring compliance with legal, regulatory and internal requirements including UCITS, AIFM and MiFID II.
• Support ongoing compliance monitoring, thematic reviews and risk monitoring across investment, operational and conduct risks.
• Prepare regulatory reports for senior management and regulators as required.
• Monitor regulatory developments and implement changes across the organisation.
• Provide compliance advice related to fund management and investor protection requirements.
• Assist in oversight of fund documentation, investment restrictions and governance requirements.
• Support anti-money laundering and data protection compliance.
• Contribute to internal rules maintenance and develop training programs for staff.

Conhecimentos

English fluency

Regulatory knowledge

Analytical thinking

Autonomous work style

Formação académica

Law degree

Ferramentas

Excel

PowerPoint

Descrição da oferta de emprego

WHO WE ARE

As an Haitong Bank, S.A. subsidiary, Haitong Global Asset Management, SGOIC, S.A. is dedicated to providing exceptional service to clients.

The mission is to help clients achieving their goals through effective and efficient management strategies, by understanding their unique needs and tailoring the approach to best support their success.

We strive to stay on the cutting edge of industry developments and trends, continually seeking new and innovative ways to add value to our client's investments.

Regulated by CMVM, as a full asset management company, HGAM manages UCITs, Alternative Investment Funds (including Private Equity Funds), as well as provides discretionary portfolio management services.

Haitong Global Asset Management is looking for candidates to the Compliance Team in Lisbon

JOB DESCRIPTION

The candidate will:

• Assist in monitoring the Company's activities, products, services and processes, ensuring compliance with applicable legal, regulatory and internal requirements, including those arising from the UCITS, AIFM and MiFID II frameworks;
• Support the ongoing compliance monitoring programme, including thematic reviews, control testing and monitoring of investment, operational and conduct risks;
• Prepare compliance reports and regulatory information for senior management, governing bodies and regulatory authorities, as required;
• Monitor legislative and regulatory developments affecting the asset management and investment services sectors and assist in the implementation of necessary changes across the organisation;
• Perform regulatory assessments and gap analyses to evaluate compliance with applicable requirements and identify areas for enhancement;
• Provide compliance advice and support to business and support functions on matters relating to fund management, discretionary portfolio management, distribution activities and investor protection requirements;
• Assist in the oversight of compliance with fund documentation, investment restrictions, regulatory reporting obligations and applicable governance requirements;
• Support the monitoring of conflicts of interest, market abuse, personal account dealing, anti-money laundering and data protection requirements, ensuring adherence to internal policies and regulatory expectations;
• Contribute to the maintenance and enhancement of the Company's internal rules;
• Assist in the design and delivery of compliance training and awareness programmes for employees and relevant stakeholders.

PROFILE

• Experience of up to 5 years in an asset management company or in a law firm with exposure to asset management business;
• Degree in Law;
• Fluency in English;
• Significant knowledge of legislation and regulation applicable to the asset management business, particularly UCITS, AIFM and MiFID II frameworks;
• Knowledge of Excel and PowerPoint;
• Risk oriented with strong analytical, investigation and problem-solving skills;
• The ideal candidate is fast-learner, responsible, curious, detail-oriented and self-starter;
• Ability to work autonomously;
• Strong work ethic and commitment;
• Good interpersonal communication skills and ability to work as a team;
• Ability to work under pressure with demanding deadlines and to allocate time effectively.

APPLICATION & JOB DETAILS

• Contract: Full Time
• Start date: Immediate
• Site: Lisbon

We will only reply to selected applicants

Haitong Bank is an equal opportunity employer and proud to provide equal employment opportunity to all job seekers. We are actively committed to ensuring that no individual is discriminated against on the grounds of age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation.

The personal information uploaded in the form and included in the Applicant’s CV will be processed on a confidential basis and used by Haitong Bank, S.A. (“Haitong Bank”), with a registered office at Rua Alexandre Herculano no. 38, 1269-180, Lisbon, for the purpose of recruitment and pre-contract due diligence checks in the event of a possible contractual agreement between the Applicant (Data Subject) and Haitong Bank or any other entity of Haitong Group. The above-mentioned data processing is necessary for these specified purposes. Data will not be disclosed to third parties but may be communicated to entities of Haitong Group to ensure the correct management of the recruitment process, since Data Subjects may also be eligible for possible employment opportunities in another company of Haitong Group, depending on their qualifications, area of expertise, or other circumstances that will be determined through the above-mentioned process. In the cases where the candidates apply for opportunities located in countries outside the European Economic Area, the transfer of the relevant data between Haitong Group entities will be subject to the duties foreseen in the applicable Data Protection laws. In such situations, the candidates hereby consent the transfer of this data, and Haitong Bank will take the appropriate measures to ensure that personal data are protected in those countries. Personal data will be kept for the duration of the recruitment process and may be retained for a longer period in the event of the Applicant being successfully hired, as well as for the fulfilment of legal obligations. If the Applicant is not hired, and if he/she gives their express consent, data can be kept for two years so that we can inform them about future recruitment opportunities. Data Subjects may exercise their rights of access, rectification, cancellation, opposition, limitation and portability by writing an e-mail to [e-mail], without prejudice to the right to file complaints to the Data Protection Authority.