This role aims to support and facilitate the company’s business to be conducted and supervised in compliance with all regulatory laws and company policies.
Also, to make recommendations to management & the Board regarding interpretation and implementation of policies, procedures, and processes to address all regulatory compliance issues.
Detailed Duties & Responsibilities
Conduct the SEC-required annual review of the company’s AML / CFT, code of ethics policies and compliance manuals & procedures, including testing of the policies and procedures, and participate in drafting the management report.
Design and implementation of the annual compliance program.
Presentation of Quarterly report to the BARC.
Drive the automation of the Compliance Monitoring Process
Review, maintain and update the company’s regulatory filings, including those with the SEC.
Dissemination of regulatory framework, circular and guidelines and monitor implementation
Guide the business as necessary on compliance, client guideline interpretation and regulatory issues
Review marketing materials and investor communications to ensure compliance with relevant laws and regulations
Work with SEC officials on regulatory-related inquiries and examinations.
Manage the identification, communication and tracking of regulatory changes and analyze the impact of such changes on the company.
Continuously review current policies, procedures, and surveillance activities to seek to modify and improve the compliance function.
Conduct employee training concerning the compliance program.
Bachelor’s degree or equivalent from an accredited university.
Relevant professional certification is an added advantage.
At least 7 years experience in the compliance, risk management or audit function.
Compliance or risk management function in the Asset Management industry or mutual fund business.
Highly professional and ethical standards.