The role involves researching, collecting, and reviewing documents to support distribution, sales, and marketing compliance. Responsibilities include completing regulatory filings, conducting money laundering and counter-terrorism financing risk assessments, and assisting with exams and audits in the APAC region. You will draft and review compliance policies and procedures, collaborating with internal departments to enhance controls.
Job responsibilities:
- Collaborate with APAC compliance teams to ensure consistency and alignment with company-wide compliance objectives.
- Keep abreast of regulatory mandates and notify the management team of any changes.
- Provide compliance related advisory to various business units.
- Research and gather documents for regulatory exams, audits, and other legal processes.
- Interact with attorneys and regulators on various compliance matters.
- Participate in departmental projects and train junior associates.
- Perform other related duties as assigned.
Requirements:
- Bachelor's degree in finance, business, law, or a related field.
- Minimum of seven years of compliance experience in investment management, securities, or financial services.
- Strong knowledge of regulatory compliance standards and industry trends.
- Sound judgment in resolving complex issues and analyzing diverse information.
- Proactive in identifying issues and recommending solutions.
- Effective written and verbal communication skills.
- Ability to prioritize tasks and meet deadlines consistently.
- Collaborative mindset with strong relationship-building skills.
- Adaptable and self-directed, with meticulous attention to detail.
- Proficient in using technology to streamline processes.
- High level of confidentiality and integrity.
- Ability to identify and escalate potential risks.
- Customer-focused, delivering solutions that meet expectations.
- Strong project management skills, including tracking milestones and updates.
- Proficient in reading and writing both Traditional and Simplified Chinese, with translation skills from English.
