Job description
Support, establish, manage, and monitor governance aspects of investment products and solutions.
Ensure investment policies and processes are aligned with governance frameworks and relevant regulations.
Manage affairs of various investment committees.
Develop and manage governance dashboard for the investment solutions department.
Conduct due diligence of fund/investment products performance on a regular or ad hoc basis.
Assist in completing due diligence questionnaires of third-party service providers.
Lead in the areas of regulatory governance, risk, and compliance and ensure risk is identified, controlled, and managed for GPB.
Work closely with local and international stakeholders to implement best practices, maintain a strong control environment, and proactively identify and resolve any issues.
Key accountabilities
• Monitor and assess investment processes to ensure compliance with FAB policies and regulations.
• Support the development of governance strategies and reporting mechanisms based on investment-related processes, regulations, etc.
• Conduct risk assessments related to governance aspects of investment products, product programs, SOP, regulatory reporting, etc.
• Assist in creating and maintaining the Risk Control Self-Assessment plan on a year-on-year basis and manage closure of the process in a timely manner.
• Monitor changes in financial regulations and governance standards affecting investment activities and suggest changes to policies and processes impacting investment product activities.
• Ensure compliance with relevant laws, regulations, industry standards, and reporting requirements.
• Collaborate with legal and various compliance teams in FAB (PB compliance and regulatory compliance teams) to align investments with governance regulations.
• Facilitate communication between investment teams, senior management, and stakeholders on governance issues.
• Prepare and present reports, analysis, and recommendations on governance, compliance, and investment performance.
• Maintain relationships with external regulatory bodies, auditors, and other stakeholders to ensure adherence to governance practices.
• Provide training and guidance to investment staff on governance policies and best practices.
• Continuously educate the investment team on emerging trends and regulatory changes in governance.
• Collaborate with management and investment teams to integrate governance factors into strategic investment planning.
• Responsible for keeping investment solution policy and process documents up to date.
• Remain the point of contact for the product team during internal and compliance audits and manage the resolution of audit points in a timely manner.
• Secretary of the Investment Products Steering Committee and Investment Committee. The role includes keeping TORs updated and current, scheduling committee meetings, preparing and circulating meeting agendas and minutes, and tracking action items.
• Conduct quarterly product exposure meetings, prepare minutes, and circulate them to management.
• Lead the Investment Products & Solutions policy framework and procedures.
• Prepare and circulate MIS to Products and Service Management.
• Prepare regulatory filings (applications, supporting documents, etc.).
• Review new regulations and implement changes for EPB.
• Ensure regulatory license renewals and requirements are met, including accreditation of professional staff, and raise issues or provide feedback on draft regulations.
• Lead client investment suitability questionnaire, product risk rating policies, relevant governance (including development and management), and annual reviews.
• Develop and manage policy framework on complex and non-complex products in line with regulatory guidelines.
Qualifications
• At least 10 to 15 years of experience in governance linked to investments, asset management, and/or investment banking regulatory reporting.
• Bachelor's degree in Business, Finance, Economics, or an industry-related qualification (such as Banking).
• Professional qualification such as FRM, CFA, ACA, or ACCA over and above the bachelor's degree is a must.
• In-depth experience of investment product development lifecycle management, broader investment management business, fund structures, investment processes, and regulations.
• Appreciation of deadlines, attention to detail, and delivery-driven.
• Team player with a positive disposition who works extremely well with colleagues, engagement of peers and superiors, as well as clients as appropriate.
• Problem-solving attitude.
• Ability to operate independently, manage, and deliver results.
• Possess excellent communication skills (verbal and written).
Remote work
No
Employment type
Full-time
