Regulatory Compliance Expert
5 days ago
A highly respected asset management firm, ConnectedGroup Limited, is seeking an experienced Compliance Specialist to join their team due to continuous business growth.
Key Responsibilities- Monitor and maintain adherence to existing ARP Compliance policies and procedures, covering personal account dealing, gifts and entertainment, conflicts management, and more.
- Provide expert advice on AML/KYC matters for new and existing clients, ensuring compliance with regulatory requirements.
- Stay up-to-date with global marketing compliance obligations and assist in implementing necessary changes.
- Identify, manage, and control compliance risks through regular reviews and updates of ARP Compliance policies and procedures.
- Collaborate with Compliance Consultants on internal and external audits, coordinating control testing and ensuring accurate results.
- Participate actively in the Compliance Committee, preparing meeting packs, minutes, and other documents as needed.
- Ensure timely completion of regulatory notifications and report submissions, investigating potential compliance incidents or breaches when necessary.
- Develop and deliver training on rules and regulations, promoting a culture of compliance awareness within the organization.
- Manage key compliance projects and ad-hoc requests, using project management skills to drive results.
- Bachelor's degree or higher, preferably in a legal field.
- Previous experience in asset management is essential, with hedge funds being highly desirable.
- Detailed knowledge of regulatory and compliance requirements in APAC and global regions.
- Proficiency in Microsoft Office applications, including Word, PowerPoint, Outlook, and Adobe PDF, with moderate experience in Excel.
- Native fluency in spoken and written English, with strong communication and interpersonal skills.
- Proactive, reliable, and self-motivated individual with the ability to multitask and work independently.
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