Vice President, Head of Asia Compliance
4 weeks ago
Description
SummaryReporting to the Global Chief Compliance Officer, the Head of Asia Compliance is responsible for leading the compliance function across HarbourVest’s offices in Asia. This VP-level position involves managing a team of four compliance officers and coordinating with global compliance colleagues in Boston, London, and Dublin. In addition, this role requires a strong partnership with senior business and operational leaders in the Asia region. The Head of Asia Compliance will ensure the smooth execution of business-as-usual tasks, and will spearhead strategic initiatives to ensure that the compliance function scales appropriately to the Firm’s growing Asian business. A successful candidate will work closely with the CCO and other members of the global compliance team to support operations and products worldwide in the context of an integrated investment, marketing, and client service process.
Job Skills and Abilities
Comprehensive knowledge of and significant experience with the regulatory requirements applicable to firms providing investment advice and engaging in marketing activities relating to investment in private funds involving one or more of the following: Capital Markets Services License (Singapore), Type 1/Type 9 license (Hong Kong), Type II Financial Instruments Business Operator (Japan). Subject area expertise and strong learning aptitude across relevant regulatory topics, including such areas as Financial Crimes, Ethics, Marketing, Conflicts of Interest. Appreciation of the need to balance regulatory risk with commercial realities. Working knowledge of U.S. securities laws, rules and regulations applicable to Registered Investment Advisers, including the Investment Adviser Act of 1940. Outstanding communication skills, both oral and written, including the ability to effectively communicate complex technical issues in layman’s terms; fluent in English, with fluency in one or more Asian languages a plus, but not required. Strong interpersonal skills including the ability to stand up for convictions in multi-disciplined professional organization and communicate professionally and confidentially with personnel at all levels. Exceptional organizational skills, including the ability to multi-task efficiently with constant regard for accuracy and attention to detail. Must be a motivated self-starter, able to work independently or as part of a team under pressure with changing priorities.Responsibilities
Manage Asia compliance team to ensure the ongoing execution of the compliance program in each of the Firm’s six Asia offices (Singapore, Hong Kong, Beijing, Tokyo, Seoul, Sydney). Coordinate policies, procedures, and compliance training across Asian offices. Working with the CCO, support the implementation and/or maintenance of Asia components of a global compliance program for international operations and marketing, including in Japan, Korea, China, Hong Kong, Singapore, and Australia. Provide advice and support for various strategic initiatives, including structural and operational options for Asia oriented products and client service reporting. Assist Legal Team on Firm governance matters and legal entity maintenance. Monitor changes to Asian rules and regulations applicable to the Firm, assess impact on Firm’s business, and provide advice to the compliance and other operational functions and assist with implementation of program changes as necessary to ensure compliance. Assist the Firm in the creation and maintenance of all necessary books, records, manuals and correspondence relating to compliance in conformity with all applicable regulatory requirements. Such other responsibilities as may be determined from time to time.Education
BA/BS; law degree a plus
Experience
At least 10 years demonstrated experience working in compliance for a global asset management or other financial services firm regulated in a relevant jurisdiction - or equivalent experience with a law firm, accounting firm, or consultant.
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