Our client is an international asset management firm with an unparalleled reputation across the Asia Pacific region. With the continued growth of the organization, the need has arisen to recruit a high calibre candidate to join them.
Implement distribution compliance procedures and policies in accordance with all regulatory requirements and internal guidelines. Supervise the distribution framework in Asia from compliance perspective. Supervise cross border marketing activities. Roll out the marketing material review platform in Asia, and with objective of unifying the standard of review. Develop standard set of disclaimer to facilitate cross border marketing activities. Provide advice on AML/KYC related matters for distribution framework in Asia. Monitor the standards of the marketing review. Assist in liaison with local and overseas regulatory authorities and other third parties including the fund’s trustee and industry associations. Keep team leaders abreast of compliance-related issues. Support SFC licensing and continuous professional training monitoring process. Perform compliance monitoring tests. Aid in the compiling of necessary compliance and regulatory reports and documents as assigned. Plan and direct investigations and quality assurance reviews as required. Perform KYC/AML reviews. Handle FATCA/CRS related matters. Monitor and approve gifts and entertainments. Review and advise on data privacy issues, including data residency, transfer of data outside of local country, and personal data protection. Manage compliance related projects as assigned.
To be considered, you should be a degree holder with a minimum 4 years of relevant experience with audit, financial intermediaries, or regulator. Knowledge of investment industry and international financial markets. Knowledge of SFC Codes and marketing guidelines. Knowledge of securities laws, rules and regulations. Excellent English written and verbal communication skills.
Interested applicants should send a detailed resume to Kelly Kam by email to email@example.com quoting reference eFC3425.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)