Assistant Compliance Officer

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