Job Description
Description
Key Responsibilities / Duties:
· Review sales materials, documents and external communication for both Type 1 business and AM business
· Day to day regulatory filing and reporting works with guidance from senior team members
· Provide regulatory advice on business, ad hoc issues and incidents
· Communicate compliance issues and build relationship with internal clients and catch up business development
· Promote a spirit of compliance to ensure employees to comply with the rules and regulations
· Deal with (self) regulators, build and maintain good relationship
· Revise internal rules and policies and publicize them
Work Experience / Knowledge:
· Experience of Compliance in Asset Management industry: 0 - 3 years
· Experience of Compliance in Financial Industry: 0 - 3 years
· Regulatory/Business Compliance is preferable
Skills/OtherPersonalAttributes
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