DISTRIBUTION COMPLIANCE - SENIOR MANAGER /ASSOCIATE DIRECTOR
Recruitment Intelligence Consultants Limited
April 21, 2021
Asset Management Firm
Excellent Career Opportunity
Our client is an international asset management firm an unparalleled reputation across the Asia Pacific region. With the continued growth of the organization, the need has arisen to recruit a high caliber candidate to join them.
Primarily responsible for supervising the Distribution Compliance function in respect of the private market business in Asia Region. Implement distribution compliance procedures and policies in accordance with all regulatory requirements and internal guidelines. Roll out the market material review platform in Asia, and with objective of unifying the standard of review. Supervise and train all the local compliance team on distribution compliance. Supervise cross border marketing activities that involve Asian offices, and other jurisdictions. Monitor the standards of the marketing review (for relatively standard materials, e.g. factsheets) for the region. Supervise the implementation of marketing strategies through social media channels in Asia. Acting as a gate-keeper for new social media to be established, e.g. WeChat, Facebook, etc. This includes the evaluation of risk exposure relating to disclosures, and cross border regulatory issues. Provide advice on FATCA/CRS and AML/KYC related matters in Asia. Supervise the distribution framework for private asset products in Asia from compliance perspective. Monitor and approve gifts and entertainments. Act as Data Protection Officer and advise on privacy issues, including data residency, transfer of data outside of local country, and personal data protection.
To be considered, you will be a university graduate with a minimum of 6 years of relevant experience with audit, financial intermediaries or regulator. Knowledge of investment industry and international financial markets. Knowledge of SFC Codes and marketing guidelines. Expert knowledge of securities laws, rules and regulations. Strong English written and verbal communication skills. Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines. Ability to work under stress and meet tight deadlines.
Interested applicants should send a detailed resume to Michelle Ho by email to email@example.com quoting reference eFC3244.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)