Job description
Our client, a leading firm, is looking for a VP, Compliance (Asset Manager) to join their expanding team.
Key Responsibilities:
Monitor and assess compliance with applicable laws, regulations, and internal policies related to asset management.
Conduct regular compliance reviews and audits of investment activities.
Develop, implement, and maintain compliance policies and procedures.
Provide compliance training and support to staff and management.
Liaise with regulatory bodies and respond to inquiries as needed.
Assist in the preparation of compliance reports for senior management and the board.
Stay updated on changes in regulations and industry best practices.
Qualifications:
Bachelor's degree in Finance, Business, Law, or a related field.
5+ years of experience in compliance within the asset management industry.
Strong understanding of SFC Type 1 4 9 regulations.
Excellent analytical, communication, and interpersonal skills.
Ability to work independently and as part of a team.
Professional certification (e.g., CAMS, CCO) is a plus.
