Responsibilities:
1. Sales & Marketing 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 with local industry practices as well as applicable laws, rules, regulations and internal policies.
Provide necessary instructions and guidance to the staff of the Company for the compliance matters.
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. Investment Compliance
Review and monitor daily trading data for block trade, cross trade, short term trading, close price guarantee transaction, market impact and other market abuse as appropriate. Whenever necessary, working with Paris Market Integrity team.
Deal with queries from fund managers and traders, handle request for approval for specific transactions.
Collaborate with fund managers, traders and teams in Paris to evolve existing IT applications and enhance the effectiveness and efficiency of daily monitoring.
Provide necessary instructions and guidance to the investment staff of the Company for the compliance matters (excluding investment guideline related matters which are handled by other department).
Any other related matters instructed from the manager.
3. Financial Security
As a back-up, deal with compliance alerts on AML/PEP generated by Actimize, Fircosoft and other systems. Deal with AML/CFT/KYC/DD requests from business partners such as brokers, trust banks, custodians as well as other asset managers.
Any other related matters instructed from the manager.
4. Corporate Compliance
Prepare and file reports, questionnaires and other documents and data requested by the regulatory authorities as well as the industry associations (FSA, KLFB, JITA, JIAA, JSDA, T2FIFA)
Monitor employees’ personal trading, gift and entertainment records, outside business activities and other Code 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.