Compliance VP, Asset Management
- Act as a liaison with the relevant regulatory authorities and agencies
- Lead the implementation of regulatory changes which impact the Company.
Advise the Company on systems and controls in place and appropriate organization to comply with the requirements.
- Revise and update compliance policies and procedures to reflect changes in legal, regulatory and internal requirements.
- Prepare training materials and deliver sessions on regulations and internal policies.
- Advise on all compliance and regulatory issues including conflicts of interests and ethical matters.
- Advise on and conduct service provider due diligence and oversight with respect to regulatory requirements
- Ensure compliance monitoring including risk and control assessments of the Company is completed.
- Keep records of all breaches and report material breaches to regulatory authorities.
- Responsible for the company’s licensing, registration regulatory reporting and timely submission of reports as required by regulatory agencies.
- Maintain proper file and documentation for audit and inspection.
- Coordinate with auditors to ensure that compliance issues are adequately addressed where appropriate.
- Coordinate and work with compliance colleagues in Asia and globally for efficiency and consistency.
- Participating in legal board and senior management committees including presentation of reports.
- Manage team staff member.
Requirement:
- Degree in Accountancy, Banking, Finance or related field
- Minimum 5 years relevant working experience in audit / compliance within financial services, preferably in the asset management industry
- Good knowledge and understanding of corporate governance and regulatory compliance.
- Good knowledge of MAS and relevant Asia legislations and guidelines
- Excellent communication and interpersonal skills
- Display initiative, ability to work independently and in a team
- Demonstrate sound judgment and decision making skills
- Show commitment, passion and enthusiasm
Please send us your resume in MS word format to resume@nexus-sc.com
license no: 09C4521
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