General Compliance- Asset Management
Core
Hands-on general compliance role reviewing marketing materials, KYC documents, and regulatory enquiries for an asset management firm.
Role type
VP-AD level General Compliance
Builds
Compliance reviews and policy maintenance for asset management products
Domain
Asset Management / Financial Services
Deliverable
client delivery
Required skills
Regulatory compliance (Fund Manager Code of Conduct, Advertising Guidelines), KYC policy and review, Asset management business knowledge, SFC authorized funds, UCITs, Cayman SPC
Preferred skills
Experience in well-established asset management firms
Technologies
N/A
Responsibilities
Review marketing materials, Assist in setting and maintaining KYC policy, Review KYC documents, Respond to regulatory enquiries
Seniority
VP-AD level, 3-6 years experience
