Compliance Specialist Senior

Compliance Specialist Senior Capital Group is seeking an experienced Compliance Specialist Senior to support distribution, sales and marketing compliance across the APACxJ region. Primary Responsibilities / Essential Functions Distribution, sales and marketing (“DSM”) compliance: review and approve marketing materials in APACxJ; contribute APACxJ input to regional/global projects; read/write Traditional and Simplified Chinese. Regulatory filings: prepare, review, manage and file statutory documentation to regulators in APACxJ (appointed representatives, firm-wide licensing, annual filings, periodic and ad‑hoc surveys). Additional Duties Research issues and collect documents for regulatory exams, audits, requests, applications and other legal processes; coordinate with auditors, external counsel and internal business groups. Draft and review internal documents and external correspondence for compliance and business purposes for manager/legal counsel review. Support clients, auditors and regulators by assisting internal business departments with responses to queries or troubleshooting issues. Initiate interactions with internal and external legal counsel and regulators on various issues, focusing on proposing and implementing changes or enhancements to business processes. Ensure internal departments are current with compliance policies and regulations; advise business areas on compliance processes and moderate complexity issues. Identify potential enhancements to legal and compliance processes; partner with legal counsels and managers on higher complexity issues. Participate in and may lead departmental and inter‑departmental projects. Participate in training of more junior associates. Other duties as assigned. Qualifications Minimum degree holder. Minimum seven years of compliance experience in investment management, securities or financial services industry (preferred). Proficient in reading, writing and translating from English to both Traditional and Simplified Chinese. Experience managing communication with APACxJ regulators on licensing matters is a plus. Demonstrated knowledge of regulatory compliance standards and current and future policies, practices, trends, technology. Sound judgment in resolving matters of moderate complexity; able to analyze multiple sources of information. Initiative: identify issues and recommend solutions. Effective written and oral communication with diverse associates and senior business leaders. Prioritization: complete work in a timely manner. Collaboration across departments. Adaptive learning, meticulous attention to detail, ability to work collaboratively and independently. Use technology to streamline processes. Maintain confidentiality and integrity. Self‑awareness: seek and act on feedback. Risk assessment: identify, assess, and elevate risks. Customer focus: deliver solutions meeting client and regulatory expectations. Influence: gain confidence and trust of others. Project management: manage projects, document milestones, provide updates. Drive results: follow through on commitments. Business insights: use market knowledge to guide actions. Foster innovation: implement creative ideas. Benefits • Highly competitive base salary, per plan guidelines, restrictions and vesting requirements. • Individual annual performance bonus, Capital’s annual profitability bonus. • Retirement plan with 15% contribution from Capital. • Temporary positions in Canada and the United States are excluded from the above compensation and benefit plans. Equal Opportunity Employer We are an equal opportunity employer; we comply with all federal, state and local laws that prohibit discrimination. Our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex, gender identity, pregnancy, childbirth, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law. #J-18808-Ljbffr