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COMPLIANCE DIRECTOR / ASSOCIATE DIRECTOR


Recruitment Intelligence Consultants Ltd

2020-09-08 07:01:02

Job location Hong Kong, Hong Kong, Hong Kong

Job type: fulltime

Job industry: Banking & Financial Services

Job description

We're looking for a candidate to this position in an exciting company.

  • Provide private equity or real assets compliance expertise in Asia to assist in the development of the fundamental regulatory compliance program. Deliverables for the engagement would include, developing core Compliance policies and ensuring adequate business procedures are implemented to support the Compliance policies. Developing and conducting testing and monitoring routines to assess the effectiveness of the policies and procedures. Conducting targeted compliance training. Providing regular reporting of the compliance program and escalation of issues to business and Compliance senior management. Work closely with other members of the regional Compliance team supporting the various private market business functions by designing a compliance program that aligns with the investment products, distribution and services. Responsibilities include identifying compliance-related risks, providing advice and guidance on compliance responsibilities, facilitating the development of appropriate controls, and reviewing policies and procedures on a regular basis for their adequacy and the effectiveness of implementation. Participate in due diligence exercises related to strategic projects and would be responsible for identifying and coordinating the local compliance expertise for specific distribution projects across the region; working on new distribution channels.

  • To be considered, you should be a degree holder with a minimum of 10 years of relevant experience and with private equity experience. Sound business knowledge of the investment management processes related to investing in private and alternative asset classes, to anticipate, monitor and manage compliance risks resulting from various investment activities. Familiar with regulatory and business requirements for service provider oversight program. Excellent interpersonal and communications skills.

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