Asia Pacific Compliance Officer

Asia Pacific Compliance Officer

LaSalle Investment Management (Singapore based)

Role Context

Reporting to LaSalle AP General Counsel

Core Responsibilities

New Funds and Risk Management

  1. Assist in the review for potential risk, liability, license and compliance issues and requirements.
  2. Assist/Review completion of client/business procedures and risk matrix.
  3. Act as Regional Money Laundering Responsible Officer, complete KYC procedures.
  1. assisting to develop compliance requirements
  2. rolling out programs and raise awareness
  3. assisting with definition and communication of delegation of authority
  4. participating in operational reviews and audits and monitor compliance

Regulatory compliance and licensing

  1. 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.
  2. 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

  1. Be the key compliance contact for LaSalle’s licences and exemptions in Singapore and the US.
  2. Assist to implement and monitor compliance with policies, procedures and guidelines
  3. Oversee and monitor filing requirements (e.g. financials, annual declarations, AUM surveys periodic regulatory requests)
  4. Prepare self-certifications
  5. Assist with capital adequacy reporting and projections

Compliance Support – Hong Kong

  1. Provide compliance support to LaSalle’s public equity business in in Hong Kong.

General

Reports to:

Qualification

Experience

 

November 4, 2013 • Tags:  • Posted in: Financial

Leave a Reply

You must be logged in to post a comment.