Senior Manager, Asia Pacific Compliance
2 weeks ago
Job Description Summary
SUMMARY
Reporting to the Head of Asia Pacific (“APAC”) Compliance based in Hong Kong, the APAC Compliance Senior Manager, based in Singapore, will assist with implementing the Firm’s global compliance program and ensure compliance with the relevant regulatory requirements in Asia. This role will be focused on a regional coverage of financial crimes and infrastructural compliance related matters.
JOB SKILLS AND ABILITIES
- Strong financial crimes (i.e., anti-money laundering, economic sanctions, anti-bribery/anti-corruption) regulatory knowledge is a must. Specifically, an understanding of the Anti-Money Laundering regulations that are usually applicable to Asia Pacific clients or investment structures (including Cayman Islands, Luxembourg, Ireland, Singapore, Hong Kong). Further, intermediate knowledge expected as it relates to economic sanctions and anti-corruption regulations.
- Working experience in managing infrastructural regulatory matters such as personal data privacy laws, cybersecurity and technology risk management, outsourcing, operational resilience/BCP are highly beneficial.
- Working knowledge of the securities laws and MAS rules and regulations in Singapore. Knowledge of other jurisdictional regulatory requirements in Asia Pacific (e.g., Australia, Hong Kong) are beneficial but not required.
- Experienced in working with other Global offices and the headquarters based in the United States.
- Ability to comprehend and effectively communicate technical regulatory requirements and compliance policies to others.
- Self-motivated, with strong organizational and time management skills.
- Self-assured professional with high personal integrity and ability to develop effective working relationships with others, including executive management.
- Excellent written and oral communication skills in English.
- Understands the necessity to adequately document all work and is detail-oriented, including creating local policies and desktop procedures.
- A strategic thinker with a cross-functional point of view, who can effectively execute.
- Able to work independently and as part of a collaborative team.
- Enthusiasm for the mission of the company and for its diverse and inclusive culture.
RESPONSIBILITIES
Financial Crimes and AML Focus - 50% of time
- The applicant will develop the global financial crimes compliance framework in APAC. This would include:
- addressing initial and on-going requests from LPs and GPs on client on-boarding matters and KYC refresh, and facilitate smooth execution including supporting/reviewing KYC packs of HarbourVest funds and vehicles
- serving as a local point of contact of escalations related to screening results on APAC-originated deals (e.g., sanctions, politically exposed persons, adverse media), and confirming consistent global screening processes and controls are implemented in Asia Pacific
- developing and maintaining AML policies and procedures for local offices in APAC, as needed
- planning and conducting regional-focused financial crimes related education sessions
- tracking regional/ applicable anti-money laundering regulations and economic sanctions developments, advise business impact on HarbourVest, and developing controls and processes as needed, with the Global team
- acting as the MLRO of the HarbourVest entities in APAC, where applicable
- This portion of the role would be integrated as needed with the Global Financial Crimes team (e.g., approach, staff meetings, training, regulatory updates, etc.)
Infrastructural and Regulatory Compliance - 50% of time
- Working with different global teams and regional stakeholders, the applicant will design and implement controls and process to ensure compliance with laws and regulations in APAC on infrastructural matters such as personal information protection and data privacy, cybersecurity / technology risk management, operational resilience/ BCP, outsourcing
- The applicant will work closely with the client service team to triage and address on-going requests/enquiries from LPs in APAC that are regulatory/compliance-related
- The applicant will work on other regulatory compliance projects as designated by the Head of APAC Compliance from time to time
EDUCATION
Bachelor’s degree, preferably with a concentration in law, business, finance or accounting
WORK EXPERIENCE
8-10 years of compliance experience at a financial institution/private equity firm, law firm, regulatory agency, major consulting firm or in law enforcement, with demonstrated ability to operate across diverse business units. Experience focusing on financial crimes will also be considered.
Experience in interacting with regulators, including MAS, U.S. Securities and Exchange Commission and U.S. Office of Foreign Assets Control preferred.
ADDITIONAL SKILLS
Excellent written and verbal English is required. Proficiency in Chinese language preferred.
Certified Anti-Money Laundering Specialist (ACAMS)/Certified Sanction
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