- Support the execution of the Compliance Monitoring Plan by conducting allocated tests to assess systems and controls compliance with regulations;
- Preparing monitoring test reports, discussing the results and findings with owners and agreeing timescales for resolution; and
- Suggesting improvements to existing tests and designing new testing where required.
- Provide day to day regulatory support to the APAC Compliance Director where required for both entities in areas of licensing, regulatory developments, monthly Compliance Asia reviews, external audit, compliance manual review, regulatory reporting to the MAS and the SFC and manage specific regulatory projects and assist in embedding new changes and working with the wider Group where required.
- Review of relevant upcoming regulatory developments, maintain the regulatory development tracker and produce a summary of points relevant to the firm that merit consideration and potential action and share with the Team
- Contribute to the production of the slide deck presented to the Risk Committee on a quarterly basis
You should be a graduate with at least two years compliance experience from a medium to large Asset Manager or a Private Equity firm, with a very good knowledge of European and FCA regulation.
For more information about this role please send your details to David Crook at firstname.lastname@example.org (including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.