Director, Compliance, Asset Management recruitment
Reporting to the Asia Pacific Regional Head of Compliance, you will have ultimate responsibility for providing advice to the regional teams on regional regulatory guidelines and changes that may affect business operations. Coverage will span 10 countries including Japan and Australia. You will work closely with business heads and portfolio managers, giving advice on existing and new product offerings and also resolving alerts raised from investment surveillance. This will span all asset offerings from Equities through to Alternative Investments and Private Equity. Key duties will include the reviewing of all marketing materials, investigating and testing existing compliance procedures and acting as the key contact point for compliance training programmes.
The successful candidate will possess at least 7-9 years' experience gained within a globally recognised asset management firm. Investment Banking Compliance experience will also be considered providing you can demonstrate equities or fixed income sales and trading product knowledge. You will possess a strong working knowledge of regional regulations and policy and an understanding of how Chinese Walls work. Above all, you will be able to manage conflicting interests, key stakeholder relationships at regional and global levels and display strong analytical and problem solving skills. Excellent spoken and written English essential, with an Asian language preferred.
This is an excellent opportunity for a high energy compliance professional, looking to be part of a top-tier global team. It also represents a great chance for sell-side professionals to move across to the more burgeoning buy-side.
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