Regional Compliance Manager – APAC (Ex Japan) – Hong Kong recruitment
Responsibilities:
• Performs daily reviews of security positions held by mutual funds and separately managed accounts to ensure compliance with all regulatory requirements, operating policies, and fund/client imposed investment limitations.
• Assists more senior level staff in the preparation and filing of regulatory reports registrations and related administrative responsibilities following established procedures.
• Reviews marketing material for compliance with relevant regulations
• Conducts AML reviews of new and existing clients
• Assists in the completion of fund and client account analyses as directed
• Prepares and distributes periodic client compliance reports, representations, and checklists as required.
• Conducts research and prepares documentation in response to customer inquiries as directed by senior level staff.
• Conducts trade testing and assists in maintaining the trading compliance system.
• Communicates potential compliance issues to management and/or senior level staff as appropriate.
QUALIFICATIONS
• Strong interpersonal and customer service skills
• Working knowledge and understanding of securities regulatory requirements, investment limitations, and operating policies for mutual funds and investment advisors preferred
• Effective analytical skills, including the ability to accumulate, organize, and assimilate large amounts of information
• Strong attention to detail and accuracy
• Ability to manage multiple tasks simultaneously
• Basic to intermediate computer skills, including Microsoft Word and Excel
• Strong verbal and written communication skills
• Experience in the mutual fund or financial services industry, preferably in compliance analysis
• Bachelor’s degree or equivalent experience required
• Relevant industry qualification preferred.