Compliance Associate
4 days ago
Our client is a multi-product investment service firm for investors worldwide, with offices across APAC.
**Role Overview**
- Oversee the implementation and ongoing execution of the Compliance Program across the Optimas Group, covering Regulatory, Investment, and AML/CFT (Anti-Money Laundering/Countering the Financing of Terrorism) frameworks.
- Ensure the firm remains compliant with applicable laws and regulations, including those issued by regulatory bodies such as the HK SFC (Securities and Futures Commission), Monetary Authority of Singapore (MAS), U.S. SEC (Securities and Exchange Commission), and the National Futures Association (NFA).
- Enforce internal policies and procedures to uphold the Group’s compliance standards.
- Deliver compliance training programs to employees to foster awareness and understanding of regulatory obligations.Manage relationships with outsourced service providers supporting the company’s regulatory needs (e.g. compliance filings, internal audits).
- A Bachelor’s degree in any discipline; background in Finance or Law is advantageous.
- Minimum of 2 years' experience for Associate level, or 5 years' experience for Manager level, ideally in a compliance, legal, or regulatory function.
- Strong interest in developing regulatory expertise across multiple jurisdictions, and in designing practical, risk-based compliance frameworks that support business operations.
- Training and mentorship will be provided to support ongoing development.
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