Asia Pacific Compliance Officer
Asia Pacific Compliance Officer
LaSalle Investment Management (Singapore based)
Role Context
Reporting to LaSalle AP General Counsel
- To provide risk management, legal, compliance, regulatory and governance support in Asia Pacific (with a focus on Singapore and Hong Kong).
- Focus on supporting the investment management and securities dealing activities with additional support for funds managed by LaSalle.
Core Responsibilities
New Funds and Risk Management
- New business and Investment Management Agreement (“IMA”) review process
- Assist in the review for potential risk, liability, license and compliance issues and requirements.
- Assist/Review completion of client/business procedures and risk matrix.
- Act as Regional Money Laundering Responsible Officer, complete KYC procedures.
- in the development, communication and monitoring of governance of funds by:
- assisting to develop compliance requirements
- rolling out programs and raise awareness
- assisting with definition and communication of delegation of authority
- participating in operational reviews and audits and monitor compliance
Regulatory compliance and licensing
- Monitoring of regulatory environment and licensing requirements across key Asia Pacific countries (excluding Korea and Australia)
- Assist with liaising with AP business particularly the Client Capital Group (“CCG”), and communicate with appointed external lawyers on evolving business environment and license implications.
- Work with CCG team to ensure that individuals are aware of what can and cannot be done in relevant markets across Asia Pacific.
Dedicated Compliance Officer for Singapore
- Be the key compliance contact for LaSalle’s licences and exemptions in Singapore and the US.
- Assist to implement and monitor compliance with policies, procedures and guidelines
- Oversee and monitor filing requirements (e.g. financials, annual declarations, AUM surveys periodic regulatory requests)
- Prepare self-certifications
- Assist with capital adequacy reporting and projections
Compliance Support – Hong Kong
- Provide compliance support to LaSalle’s public equity business in in Hong Kong.
General
- Provide practical and pragmatic regulatory and compliance advice.
- Assist with compliance with Jones Lang LaSalle/ LaSalle Company-wide policies and procedures
Reports to:
- LaSalle AP General Counsel
Qualification
- Relevant university degree
Experience
- 5-8 years’ experience focused on corporate compliance work ideally in funds management, property or banking and finance sectors.
- Commercial attitude and enjoy working in an entrepreneurial, team-driven environment
- Able to conceptualize and articulate pragmatic/creative compliance and business solutions to complex regulatory and business challenges
- Experience of dealing with investment management and securities dealing licenses a plus
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