VP Compliance Business Development

VP, Senior Compliance Officer

Department : Legal & Compliance Department

Job Description :

• Enforce policies and procedures by tracking actions through various tools as well as also conduct training sessions to raise awareness among employees and ensure that they follow the policies effectively.
• Conducts examinations and creates an analytical report to assess the efficiency of the compliance policy and procedure enforcement.
• Reviews marketing material before publishing to client. This marketing material must be in line with local regulation.
• Performs compliance review and risk assessment to ensure the internal control is in line with regulation.
• Provides an advice regarding Business Development matters.
• Submits the report to the SEC as required by SEC's regulation or according to fund prospectus such as complaint report.
• Communicates and disseminates relevant laws, regulations, rules and notifications to staff.
• Conducts monitoring review to ensure that the internal control is appropriated and in line with SEC's regulation.
• Prepare compiling compliance analysis reports to management

Requirements :

• Master/ Bachelor degree in legal/business
• At least 5-7 years experiences in Compliance from asset/ fund management company
• Good understanding of SEC regulations
• Exposure to compliance issues and practice.
• Excellent communication & writing skills.