Compliance Officer (12- 15yrs+ exp), US Fund House

Responsibilities:

• Review and implement the Firm’s compliance policies and procedures 
• Perform regular investment compliance monitoring to ensure groups complying with relevant fund investment guidelines 
• Partner on compliance onboarding, new hire, and annual trainings 
• Create and submit regulatory filings and lead on interactions with the local regulator 
• Coordinate, track, distribute, and review quarterly compliance certifications 
• Maintain internal controls to detect violations of company policies and procedures 
• Collaborate with Marketing team to provide compliance oversight related to RFIs, RFPs, DDQs, investment commentaries, presentations, and other materials 
• Partner with the business to review any event, meeting, corporate access requests that require review and approval 
• Review account opening processes and ensure clients adhere to SFC AML/KYC guidelines 
• Conduct compliance testing, compliance review, transaction monitoring and prepare compliance testing reports 
• Provide AML and compliance support and advisory including reviewing policies & procedures, gap analysis and annual compliance attestation 
• Lead AML and compliance risk assessment, projects, and implementation. Run gap analysis for compliance and AML frameworks, annual compliance attestation and provide support to handle regulatory enquires 
• Work alongside the GC/CCO to review guidelines and other agreements with clients, financial institutions, consultants, plan fiduciaries, and investment advisers
• Alert the CCO of any SFC regulatory developments that would require updates to policies and procedures 
• Educate investment and non-investment staff on compliance related matters and enforce compliance policies 
• Keep current with any changes to regulations that would impact the Firm 

Requirements:

• Bachelor’s degree 
• In depth knowledge and understanding of SFC compliance requirements for an SFC regulated entity 
• Minimum of 12 years compliance experience, preferably at an investment adviser 
• Strong oral and written communication skills 
• Purpose-Driven: Starts with Why – in service of our communities, our clients, and each other 
• Accountable: Operates with autonomy and drives towards results 
• Emotionally Intelligent: Demonstrates self-awareness and interpersonal skills 
• Grit: Persists in the face of adversity 
• Lifelong Learner: Employs a growth mindset and strives to become more 

***All personal data will only be collected for recruitment purpose only