Compliance and Operational Risk - Investment Management - 4189367

About Our Client

Our client is a very innovative Fintech company that provides discretionary investment management services for retail investors

Provide regulatory support and advice for the business from the perspective of compliance and internal control (integrated risk / operational risk management)
Planning, execution and management of company-wide integrated risk assessment, formulation of practical improvement measures and execution guidance
Compliance monitoring for integrated risk and operational risk management (regular and continuous management system, execution and management status monitoring)
Compliance check (review of internal rules, procedure manuals, materials, etc. related to integrated risk and operational risk management)
Planning, preparation and implementation of in-house integrated risk / operational risk management training and enlightenment activities
Internal regulation management (coordination with related departments responsible for enactment / revision proposals, management of compliance-related regulations)
Notifications, reports, communications, etc. to financial supervisory authorities, etc.

5+ years of compliance and / or operational risk management experience within the financial services industry, preferably within investment management
Proven knowledge of Financial Instruments Exchange Law (FIEL), particularly related to securities transactions including Exchange-Traded Funds (ETFs)
Good communication skills to coordinate with other departments across the business and externally with regulatory bodies
Team player with a strong sense of responsibility