Asset Management Compliance Expert
1 week ago
The Senior Compliance Analyst will play a key role within an APAC Asset Management Compliance team operating in a successful international Asset Management business. This role offers excellent exposure to someone looking to develop their career in an international asset management based compliance role.
You will provide support to the compliance programs and activities across APAC and within a global framework. Partnering with compliance team members and managers and staff in the business units, you will provide consultation and advice on regulatory matters, conduct compliance monitoring and testing activities, focusing on areas of portfolio management and trading, surveillance, and conduct obligations.
Key Responsibilities:
- Monitoring and testing of the APAC-wide regulatory and corporate compliance obligations
- Supporting execution of the global trade and communication surveillance programme
- Providing technical research and consultation to support compliance programs and initiatives
- Assist in the development and maintenance of compliance frameworks and related policies and procedures
- Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the department's activities
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