Compliance Officer M/F

L'offre

Responsibilities:

1. Sales & Marketing and Product Compliance

(focusing on whichever of Institutional, Retail, ETF/Index or Alternative Business)

• Review outgoing documents including sales materials, strategy presentation, RFP, fund trust deed, Prospectus, notification letter to investors, etc. to eliminate compliance problems and other inappropriate descriptions in accordance applicable laws, rules, regulations, local industry practice and internal policies.
• Review proposed investment scheme and setup for new mandates / new comingled funds in accordance with applicable laws and provide effective and reasonable advice to business partners.
• Provide necessary instructions and guidance to the staff of the Company for the compliance matters related to interaction and relationship with clients, including unique arrangement on a negotiation basis, handling of complaints.
• Keep updated on local sales, marketing & distribution regime, work with Paris Client Protection and Distribution teams when necessary to update and implement enhanced sales & marketing compliance framework, etc.
• Any other related matters instructed from the manager.

2. Financial Security

• Deal with compliance alerts on AML/PEP generated by group screening tool, Fircosoft and other systems. Deal with AML/CFT/KYC/DD submitted from business partners such as institutional clients, distributors and provide adequate assistance to first line of defense.
• Keep updated on local sales and global AML/CFT regime, work with Paris Financial Security team when necessary to update and implement enhanced AML/CFT framework, etc.
• Any other related matters instructed from the manager.

3. Corporate Compliance (As a back-up)

• Prepare and file reports, questionnaires and other documents and data requested by the regulatory authorities as well as the industry associations (FSA, KLFB, IMAJ, JSDA, T2FIFA)
• Monitor employees’ personal trading, gift and entertainment records, outside business activities and other Code of Ethics related matters.
• Prepare the report on local compliance activities to periodical local compliance committee and Amundi Group Compliance Business Line.
• Keep updated on new laws, rules and regulations as well as implementing global policies, and establishing and maintaining local policies and procedures.
• Provide basic compliance training for new joiners.
• Any other related matters instructed from the manager.