Job Description
Responsibilities:
- Oversee and maintain the firm’s compliance framework, policies, and procedures.
- Ensure compliance with global regulations (e.g., SEC, SFC, FCA, AIFMD, AML/KYC).
- Manage regulatory filings, audits, and interactions with authorities.
- Provide compliance support for fund formation, marketing, and investor onboarding.
- Conduct internal reviews, risk assessments, and staff training.
- Advise senior leadership on compliance risks and regulatory developments.
Responsibilities:
- Bachelor’s degree in Law, Finance, Business, or related field; JD or LLM preferred.
- 10+ experience in compliance role with an Institutional & Private Wealth or Private Equity investment manager
- Strong understanding of regulatory compliance in jurisdictions like Hong Kong, Singapore and Australia and in marketing, distribution & sales compliance regulations in Asia, UK , Europe, & North America.
- Experience in managing a successful compliance programme.
- Demonstrated ability to write effectively and efficiently.
- Superior organisational skills and communication skills.
- Previous experience of managing a high performing team.