Senior Officer, Compliance Monitoring, LFC Senior Officer, Compliance Monitoring, LFC …

Standard Chartered Bank
in Shanghai, 上海市, China
Festanstellung, Vollzeit
Seien Sie der erste Bewerber
Competitive
Standard Chartered Bank
in Shanghai, 上海市, China
Festanstellung, Vollzeit
Seien Sie der erste Bewerber
Competitive
Standard Chartered Bank
Senior Officer, Compliance Monitoring, LFC
About Standard Chartered
We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.

To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.

We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.


Scope of the Role:
  • 根据法律法规的规定和资产管理合同的约定,监督产品投资行为符合法律法规,包括但不限于交易所产品,场外交易产品,衍生品及非标产品,及时报告异常情况。
Key Responsibilities:
  • 根据法律法规的规定和资产管理合同的约定,对管理人的投资指令等进行监督审核。
  • 根据法律法规的规定和资产管理合同的约定,录入监控指标,计算监控指标,处理监控结果;
  • 对投资监督中发现的违规问题出具提示函,跟踪管理人违规调整情况,及时升级汇报违规逾期情况;
  • 研究托管系统监督模块功能,编制需求说明书;
  • 测试系统新功能,并编制测试报告;
  • 每日持仓核对工作;
  • 根据法律法规的规定编制监管报告,定时定量报送各监管部门;
  • 负责对中国证监会、行发文、部发文等文件的收集和管理,整理与核算管理业务相关资料;
  • 定期以简报、通讯等形式及时向有关部门沟通情况并提出建议,为托管部领导管理决策和处内自身管理提供借鉴依据;

Our Ideal Candidate
  • 有管理、培训团队经验和一定的项目配合经验
  • 两年以上国内证券托管业务相关岗位经验(至少熟悉公募基金托管操作)
  • 取得基金从业资格证书
  • 最好使用过赢时胜公司的金手指系统

Apply now to join the Bank for those with big career ambitions.
Close
Loading...