Compliance Officer at First Excelsia

Industry: Asset Management

Annual Net Remuneration: Attractive and Negotiable

Our client, a leading Financial Services Institution, is seeking to hire an experienced and highly competent a Compliance Officer to join its dynamic team.

The ideal candidate will have extensive audit experience within the asset management space, with an in-depth understanding of risk management, compliance, and regulatory requirements.

Job Responsibilities

• Creating and updating compliance policies and procedures to ensure adherence to regulatory requirements. 
• Overseeing the implementation and effectiveness of compliance programs, including monitoring business activities and conducting compliance reviews. 
• Conducting regular risk assessments and compliance audits to identify potential vulnerabilities and ensure controls are in place. 
• Providing training to employees on compliance matters and promoting a culture of compliance throughout the organization.
• Interacting with regulatory bodies, responding to inquiries, and managing regulatory exams. 
• Preparing and submitting regulatory reports, maintaining compliance records, and reporting to senior management. 
• Investigating compliance issues and breaches, and implementing corrective actions.
• Keeping abreast of regulatory changes and ensuring policies are updated accordingly. 
• Ensuring compliance with Anti-Money Laundering and Counter-Terrorism 
• Overseeing trade compliance programs, including personal and firm trading activities.
• Providing guidance on product governance and target market considerations

Person Specification

• Bachelor\'s degree in Law, Finance, Business Administration, or a related field.
• SEC Sponsored Individual for Compliance Officer in Fund/Portfolio Management.
• Minimum of 5 years of experience in compliance, within the Fund/Portfolio management.
• Strong knowledge of regulatory requirements and standards applicable to Fund/Portfolio management.