compliance manager, asset management.

Our client is a leading asset management company. They are seeking an experienced Compliance Manager to oversee overall compliance matters within the organization. This role is crucial for ensuring adherence to regulatory requirements, particularly in relation to SFC 149. The ideal candidate will play a key role in supporting compliance initiatives, reviewing documentation, and collaborating with various teams.


Key Responsibilities:

• Oversee overall compliance matters within the organization.
• Assist in matters related to SFC’s Type 1, 4, and 9 licenses.
• Draft and review documents pertaining to SFC’s Type 1, 4, and 9 licenses.
• Review marketing materials to ensure compliance with regulations.
• Ensure that marketing activities across different jurisdictions comply with local laws.
• Draft and review investment management agreements for managed accounts.
• Organize and conduct compliance training for staff.
• Facilitate investor onboarding processes, including PI confirmation, AML/KYC, and suitability assessments.

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