Vacancy Description
A leading investment management firm is looking to hire VP/Director Compliance to cover APAC region.
You will be responsible for the following
- Provide advice to the various Asset Management business teams in their day-to-day business operations
- Keep up-to-date with relevant regulatory changes
- Assist with regulatory reviews, inspections, investigations, or regulatory inquiries
- Monitor and review compliance with APAC regulatory requirements, license conditions and ongoing obligations
- Review APAC marketing and client communication materials, ensuring all content is accurate, compliant, and aligned with regulatory standards
- Ensure filing of regulatory documents timely and accurately
- Identify and advise mitigations for regulatory and/or reputational risk issues
- Investigate and resolve issues from the day-to-day business operations, including working with other groups in the firm
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