Job Description

Main Responsibilities:
Monitoring
Responsible for implementation and ongoing development of risk-based Compliance Monitoring
Programme. Follow-up findings and report outcomes to senior management.
Pre- and post-trade investment restriction analysis.

Monitor staff compliance with Code of Ethics; log and review any breaches/errors.
Marketing
Review and approve the firm's financial promotions, and other marketing materials.
Due Diligence
Perform AML and KYC checks on clients and business relationships.
Work with fund administrators to compile regular reports for the fund's Board.
Regulatory Compliance
Assists with enquiries or requests for information from regulators.
Ensure that the firm and its staff are appropriately registered with relevant authorities.
Reporting
Compile ad-hoc and periodic reports for the firm's regulators and clients.
General
Participate in ad-hoc projects on a regular basis, as directed by the Head of Compliance.
Compile key performance indicators for senior management.

Required Knowledge, Skills, and Abilities