VP/Director Compliance, Financial Institution

A leading investment management firm is looking to hire VP/Director Compliance to cover APAC region.

You will be responsible for the following

• Provide advice to the various Asset Management business teams in their day-to-day business operations
• Keep up-to-date with relevant regulatory changes
• Assist with regulatory reviews, inspections, investigations, or regulatory inquiries
• Monitor and review compliance with APAC regulatory requirements, license conditions and ongoing obligations
• Review APAC marketing and client communication materials, ensuring all content is accurate, compliant, and aligned with regulatory standards
• Ensure filing of regulatory documents timely and accurately
• Identify and advise mitigations for regulatory and/or reputational risk issues
• Investigate and resolve issues from the day-to-day business operations, including working with other groups in the firm

Bachelor with 12-18 years of relevant compliance advisory experience in the banking or investment management industry.

Consultant Registration No. R1332494

Singapore Employment Agency License No: 16S8069

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