Role Overview
This is a senior compliance position focused on supporting the Private Markets businesses in APAC, including Real Estate and Private Credits. The role involves both strategic oversight and hands-on execution of compliance programs.
Key Functional Areas
1. Compliance Program Management
- Design, implement, and monitor compliance frameworks tailored to Private Markets.
- Ensure alignment with regional regulations (SFC, MAS, ASIC, FSA) and internal policies.
- Regularly revise programs to reflect legal and business changes.
2. Cross-Functional Collaboration
- Work closely with:
- CCO teams
- Legal and marketing compliance
- Investment and sales teams
- Coordinate responses to regulatory and investor inquiries.
3. Monitoring & Testing
- Lead risk assessments, monitoring, and testing of compliance controls.
- Address findings with business partners and support internal audits.
4. Training & Education
- Develop and deliver compliance training across the Private Markets teams.
- Simplify complex regulations for broader understanding.
5. Conflict Management
- Identify and resolve conflicts of interest, both real and perceived.
Required Skills & Experience
✅ Must-Haves
- 6+ years in financial services, with 4+ years in advisory compliance.
- Deep understanding of alternative investments (Private equity, Real Estate, etc.).
- Familiarity with APAC regulatory frameworks.
- Strong communication skills in English, Cantonese, and Mandarin.
- Degree in Accounting, Finance, or Law.
âž• Preferred
- Certifications in compliance or related fields.
- Experience with cross-border compliance and regulatory reporting (e.g., Form ADV).
