Monitor and review compliance issues to ensure the functions are running well and comply with SEC, AMLO, FATCA, and governmental authorities relating to the company's business
Provide training and communicate important rules and regulations to relevant staffs including establishing compliance awareness
Develop, review, and update compliance policies, procedures, and internal guidelines to ensure they remain aligned with current laws, regulations, and best practices in the fund management industry.
Plan and conduct internal audits according to the annual audit plan, prepare audit reports, and follow up on corrective actions to ensure timely resolution of compliance and operational issues.
Coordinate and liaise with regulatory bodies (e.g., SEC, AMLO) regarding regulatory filings, reporting requirements, inspections, and requests for information.
Qualifications
Bachelor's degree or higher in Business Administration, Law, Accounting, Finance and Economics or any related fields
A minimum of 5 years of experience in Compliance or Internal Audit, with a particular emphasis on Asset Management, IT Audit will be advantageous.
Good command of spoken and written English
Strong in analytical and communication skills
Proactive working style, Can do attitude, enjoy facing new challenges
