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Risk Management Advisor
1 week ago
This Is An IT Support Group is seeking a qualified Compliance Associate to join our team. The successful candidate will be responsible for ensuring the company's adherence to regulatory requirements and internal policies.
Responsibilities
The key responsibilities of this role include:
- Reviewing and maintaining product disclosure documents and fund offering documents for compliance with internal and regulatory requirements.
- Preparing and submitting regulatory filings, ensuring timely and accurate submissions to regulators.
- Handling licensing and registration matters, including the application and cessation of appointed/licensed representatives. Monitoring compliance with applicable local licensing regulatory requirements.
- Assisting in the company's external audits.
- Collating information and preparing required documentation for reporting to senior management and the Board of Directors.
- Assisting the compliance team in monitoring regulatory developments and changes, updating policies and procedures, and other ad-hoc tasks and projects as required.
Requirements
The ideal candidate will have a Bachelor's degree in accounting/finance, business, legal, or a similar field. A minimum of 3 years of compliance, risk management, or audit experience in the asset management industry is also required. Strong analytical skills, verbal and communication skills, and attention to detail are essential for this role.
Benefits Package
This Is An IT Support Group offers a comprehensive benefits package, including a highly competitive base salary, per plan guidelines, restrictions, and vesting requirements. You will also be eligible for an individual annual performance bonus, plus Capital's annual profitability bonus, plus a retirement plan where Capital contributes 15% of your eligible earnings.
