Senior Finance and Compliance Associate, Private Equity
The Junior Compliance Officer will assist in ensuring that the firm adheres to all regulatory requirements and internal policies. This role involves supporting the compliance function in monitoring and reporting activities, conducting regular compliance reviews, and assisting in the development and implementation of compliance policies and procedures.
Responsibilities :
- Assist in monitoring and ensuring compliance with all relevant regulations, including CIMA (Cayman), the Company Act, ES filing, FATCA CRS and other applicable regulatory bodies.
- Support the development, review, and implementation of compliance policies and procedures.
- Conduct regular compliance reviews and audits, prepare compliance reports, and maintain accurate records of compliance activities.
- Assist in organizing compliance training programs for staff to ensure awareness and understanding of regulatory requirements and internal policies.
- Participate and coordinating with external AMRLO in compliance risk assessments and help identify potential areas of compliance vulnerability and risk.
- Maintain and update compliance documentation, including policies, procedures, and records of compliance activities.
- Serve as a point of contact for compliance-related inquiries and provide timely and accurate responses to regulatory authorities and internal stakeholders.
- Assist in investigating and resolving compliance incidents, including preparing reports and recommendations for corrective actions.
- Stay updated on regulatory changes and industry best practices and recommend improvements to the compliance program.
- The Junior Compliance Officer will assist in ensuring that the firm adheres to all regulatory requirements and internal policies. This role involves supporting the compliance function in monitoring and reporting activities, conducting regular compliance reviews, and assisting in the development and implementation of compliance policies and procedures.
Requirements:
- Bachelor's degree in Finance, Law, Business Administration, or a related field.
- 1-2 years of experience in compliance, preferably within the financial services industry or a private equity firm.
- Understanding of regulatory requirements applicable.
- Analytical in problem solving, able to make judgment/ recommendation
- Proficiency in Chinese is essential as the incumbent is required to liaise with clients from China
Interested applicants are invited to write in with updated resume to [email protected].
EA License No. 16S8296 • EA Personnel Registration No. R21102756
