
Compliance Officer
1 week ago
**Position Description & Responsibilities**
We are now seeking a Compliance Officer (Private Wealth / CPG-focused) to be based in Hong Kong or Singapore. This position will be reporting to our Asia Pacific Chief Compliance Officer.
**Job Specifications (including but not limited to)**
- Set up a robust compliance and cross boarder framework for marketing and client engagement with a specific focus on private wealth
- Review and approve marketing materials relating to the Firm’s investment products
- Co-ordinate with the business teams on the completion and review of client categorisation / suitability assessments for new and existing contacts, and the distribution of PPMs and other fund documentation
- Liaise internally and externally regarding the Firm’s ability to market new products under various Asian regulatory regimes.
- Provide real time advice to business personnel on regulatory and internal policy issues
- Conduct Private Wealth / CPG-focused focused compliance training regarding new and existing regulations and firm policies
- Assist in preparing responses to regulatory inquiries as necessary
- Coordinate with colleagues in legal/compliance and other control groups on initiatives including surveillance, risks assessments, testing and audits
- Participate in regulatory / industry initiatives relating to new regulations and other issues relevant to the asset management business
- Draft policies and procedures and advisory bulletins where required
**Qualifications**
- Bachelor’s degree in Law preferred
- Relevant professional / post graduate qualifications an advantage
- Approximately 8-15 years in the legal/compliance function at a financial institution or law firm in Hong Kong or Singapore
- Relevant experience in asset management compliance with a focus on client coverage, marketing and fund distribution
- Proactive, hard-working, detail and solution oriented
- Strong communication skills, fluent in written and spoken English. Proficiency in an Asian language would be preferred
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