Manager, Compliance Department

Key Responsibilities:

• Regular monitoring the fund activities by Investment control system to ensure the accuracy and compliance with the regulations.
• Advisor and problem solver by using knowledge in Compliance to support the Investment team and other BU.
• Review the Marketing material to comply with the regulations.
• Coordinate and work closely with BU and relevant regulators to make sure that the company is fully compliance with relevant rules and regulations.
• Responsible for Compliance plan, monitoring, internal audit, IOE audit and report the result of monitoring to the Audit Committee.
• Responsible for updating incoming regulations from regulator and identify risk associated of the company’s process.

Qualifications:

• Education: Bachelor’s degree in Business Administration, Accounting, Finance, Law or related field. 
• Experience in a Compliance role within Asset management Company, if have experience in consult and monitoring the fund activity by Investment control system would be advantage.
• Knowledge: Understanding of the SEC Laws, Regulations, and relevant guidelines.
• Negotiation, analytical and problem-solving skills
• Good command of written and spoken English
• Computer literate: Microsoft Office
• Have a good attitude to work hard and under pressure, can work effectively as a teamwork