Compliance Manager
Apr 29, 2025
Job Rank: VP/SVP
Position Type: Permanent
Role Objectives
o Ensure all critical aspects throughout the whole investment process, e.g. investment decision making, external advisor engagement etc, compliant with regulatory and internal requirements.
o Identify and manage compliance risk in investment related activities.
o Assess internal investment-related policies in terms of effectiveness and integrity
2. AML/KYC and other Regulatory Compliance
o Manage the whole AML/KYC process during acquisition and post investment with various counterparties, and make relevant record.
o Closely monitor development in AML/KYC, sanctions and provide advice to management.
o Responsible for FACTA / CRS and other regulatory reporting.
o To develop and implement a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks against regulatory content, compliance standards and inspection methods, based on the company s business risk characteristics, local laws/regulations and industry practice.
o Responsible for day to day monitoring and reporting of compliance risks
o Ensure that compliance procedures, systems and controls are up-to-date and effective
o Primary responsibility for maintaining and monitoring compliance with key compliance policies, this includes maintain relevant restricted authorization of the main business, disclosure of information on conflict of interest, gifts, hospitality and personal investment.
o Improve existing compliance policies or establish new policies.
4. Research and Advisory
o Closely monitor the development of regulations, identify the influence on company s business and maintain an updated understanding of relevant regulatory requirements.
o Responsible for day to day management of employee training, including providing regular training to employees on compliance matters, including internal policies and procedures, the application of standards and guidelines, and relevant laws and regulatory requirements, promoting and enhancing a strong compliance culture
5. Reporting
o Prepare routine compliance reports, event-driven reports, etc.
o Prepare ad-hoc reports on compliance developments
Requirements
Experience/Skills
- 5+ years working experience in compliance functions of financial institutions.
- Previous experience with private market KYC/AML practice.
- Detailed knowledge of financial investment regulations, as impacting the company s business, e.g. AML, sanctions, insider dealing, market abuse, conduct of business and conflicts of interest
- Knowledge and experience of best practice compliance and governance frameworks, methodologies and emerging practice, compliance monitoring and risk assessments in the context of the UK financial investment industry
- Highly developed communication and influencing skills with ability to build relationships across the organization at all levels
- Be capable of interpreting complex information and presenting opinions in a rational way
- Thorough and accurate, capable of identifying the key issues with logical and systematic thinking
- Processes driven ability to establish and follow new processes
- Accountable for own decisions and actions whilst respectful of the professional responsibilities of others
- Strong communication skills in English, and knowing Chinese is a plus
Qualifications
Experience/Skills 5+ years working experience in compliance functions of financial institutions. Previous experience with private market KYC/AML practice. Detailed knowledge of financial investment regulations, as impacting the company s business, e.g. AML, sanctions, insider dealing, market abuse, conduct of business and conflicts of interest Knowledge and experience of best practice compliance and governance frameworks, methodologies and emerging practice, compliance monitoring and risk assessments in the context of the UK financial investment industry Highly developed communication and influencing skills with ability to build relationships across the organization at all levels Be capable of interpreting complex information and presenting opinions in a rational way Thorough and accurate, capable of identifying the key issues with logical and systematic thinking Processes driven ability to establish and follow new processes Accountable for own decisions and actions whilst respectful of the professional responsibilities of others Strong communication skills in English, and knowing Chinese is a plus Qualifications Degree qualified preferably in law
