CLIENT BACKGROUND
Our client is a Regional Investment Bank. We are seeking a Compliance talent to join our dynamic compliance team.We are dedicated to providing our clients with innovative investment solutions while maintaining the highest standards of compliance and governance. As we continue to grow, we are looking for a seasoned professional to join our team.
JOB RESPONSIBILITY
- Oversee compliance with all relevant regulations and industry standards impacting FOF, PE, and public funds.
- Develop, implement, and maintain comprehensive compliance policies and procedures tailored to our asset management strategies.
- Conduct compliance risk assessments, identifying and mitigating potential compliance issues in investment operations.
- Lead training initiatives to ensure that all staff are informed about compliance requirements and best practices.
- Collaborate with senior management, investment teams, and external regulators to foster a culture of compliance and transparency.
- Manage the audit process, ensuring timely and accurate submissions of compliance documentation and reports.
- Prepare and present regular compliance reports to senior leadership, highlighting key issues and recommendations.
JOB REQUIREMENTS
- Bachelor's degree in Finance, Law, Business Administration, or a related field; advanced degree or professional certifications (e.g., CFA, CAMS) are preferred.
- A minimum of 10 years of experience in compliance within asset management
- In-depth knowledge of the regulatory environment governing asset management
- Strong analytical and problem-solving skills.
- Excellent communication and interpersonal skills, with the ability to influence stakeholders at all levels.
- Proficient in compliance management systems and tools.
