Position Overview: We are seeking a dedicated Compliance Officer/Manager to join our Legal and Compliance (L&C) team. The successful candidate will play a crucial role in ensuring our firm adheres to all regulatory requirements and maintains the highest standards of compliance.
Key Responsibilities:
- Compliance Reviews & Monitoring: Conduct compliance reviews and ongoing monitoring of investment guidelines, including periodic forensic transaction testing to detect unusual investment patterns or trading activities.
- Regulatory Compliance: Assist with regulatory compliance tasks such as licensing, code of ethics monitoring, and regulatory filings.
- AML/KYC Processes: Support the Anti-Money Laundering (AML) and Know Your Customer (KYC) review and monitoring processes.
- Policy & Process Management: Aid the Legal and Compliance team in maintaining effective policies, processes, compliance training, and controls to ensure adherence to applicable regulations.
Qualifications:
- Team Player: Strong interpersonal and communication skills, with the ability to work effectively in a team environment.
- Self-Motivated: Highly disciplined, well-organized, and eager to learn.
- Investment Knowledge: Solid understanding of basic investment concepts, particularly in public equities portfolio management.
- Technical Skills: Proficiency with major finance-related software, including Excel, Word, PowerPoint, and Bloomberg.
- Educational Background: University degree in Legal, Accounting, Finance, or related disciplines.
