- Conduct screening of expert profiles and background to ensure completeness, accuracy, appropriateness, and consistency and identify any potential concerns. Conduct further in-depth research on issues/concerns identified using proprietary databases and/or public domain.
- Conducting investigations including potential financial crime cases, as required by the business.
- Review and analyze projects and identify potential risks or violation of the GLG's compliance framework.
- Ensuring that risks are identified, assessed, managed, and reported in a timely manner.
- Work closely with other global compliance team members to provide real-time compliance support and guidance as needed.
- Assisting with developing, enhancing, and communicating the company's standards and frameworks for mitigating risks.
- Coordinating and reviewing end-to-end risk assessments.
- Making decisions/recommendations on appropriate actions in relation to issues that have been identified by other members on compliance.
- Providing advice, guidance, and updates on the application of GLGs Compliance policy and best practice.
- Responding promptly to any business requests relating to Compliance in an accurate, informative, and timely manner.
- Developing and maintaining relevant management information on issues and related risks.
- Identifying areas for improvement and recommending changes to procedures and standards where appropriate.
- This is an entry level position.
- Strong academics with 1-3 years of relevant financial services/ banking experience is a plus.
- Proficient in English (verbal and written).
- Compliance professionals should have developed analytical and interpretative skills, along with excellent communication and presentation skills. The ability to build strong relationships and influence is also key, as is effective stakeholder management.
- Compliance professionals will be required to provide expert advice and proactive support relating to risk, control, and compliance. They work to ensure sound and responsible business practices and high ethical standards within the firm, as well as the integrity of the products and services delivered to customers.
- Possess excellent Internet-based research skills. Familiarity with using Internet-based investigative tools would be an added advantage.
- Adaptability to work in a dynamic environment often accompanied by stringent deadlines.
- Proficiency with Microsoft Word, Excel and PowerPoint.
- Are motivated by the chase of the hunt in all things "compliance"
- Exhibit process discipline and systematic approach to pipeline development
- Are simultaneously team-oriented and strong individual contributors
- Are resilient, perseverant, and goal-oriented
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Analyst, Compliance - Shanghai, 中国 - GLG
描述
Specific responsibilities include (but are not limited to):
An ideal candidate will have the following:
We seek bright, positive, and flexible people who:
