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 Read more […]

May 28, 2012 • Tags: , , , , • Posted in: Financial • Comments Off on Regional Compliance Manager – APAC (Ex Japan) – Hong Kong recruitment