A fast-growing, high performing, award winning asset manager is hiring a Compliance Specialist as a new headcount due to continuous business growth.
Responsibilities
* Day-to-day compliance monitoring in line with existing ARP Compliance policies and procedures, including but not limited to personal account dealing, gifts and entertainment, conflicts management;
* Provide assistance and expertise on AML/KYC matters for new and existing clients;
* Understand and assist with compliance obligations with respect to global marketing;
* Monitor, review, update and assist with the implementation of regulatory and legislative changes, including but not limited to SFC, SEC, fund 40Act and UCITS obligations;
* Identify, manage and control compliance, regulatory and reputational risks through reviews and improvement of ARP Compliance policies and procedures;
* Assist in internal and external audits and coordinate control testing with our Compliance Consultants;
* Actively participate in the Compliance Committee including coordinating and preparing packs, minutes and other documents;
* Assist with and ensure required regulatory notifications and report submissions are completed on a timely basis;
* Investigate potential compliance incidents or breaches in conjunction with various internal and external parties;
* Conduct training on rules and regulations as well as promotion of compliance awareness and culture, where needed;
* Project manage key compliance projects and ad hoc requests.
Qualifications and Experience
* Bachelor's degree or above, legal background preferred;
* Previous experience in asset management is a MUST while hedge funds is preferred;
* Sound knowledge of regulatory and compliance requirements in both APAC and Global regions;
* Strong skills and experience with Microsoft Word, Powerpoint, Outlook, Adobe PDF.
* Moderate experience with Microsoft Excel.
* Native fluency in spoken and written English.
* Proactive, reliable and self-motivated with an ability to multi-task and work independently;
* Strong aptitude to think ahead and work towards anticipating and preventing compliance issues before they arise
