Job Purpose:
- The role is in the Corporate Compliance team which is responsible for supporting clients in a range of compliance operations including marketing material reviews, collateral review, social media surveillance, and reporting.
- One of the key responsibilities will be to support and deliver the objectives of clients and ensuring that all reviews are performed in accordance with policies, procedures, applicable laws, and regulations and all edits or corrections are documented and preserved in a manner prescribed by the clients.
Key Responsibilities:
The team combines regulatory knowledge with operations skills to support client in a range high volume compliance task.
- Ability to make judgement calls on superlative and quantitative claims.
- Review and sign off on financial promotions such as factsheets, pitchbooks, investor letters, performance metrics, client presentations, educational materials, etc.
- Approvals and reviews for social media, webinar, podcast etc.
- Responsible for MIS and all the periodic dashboards for the client Communicate extensively with onshore partner to escalate/resolve issues.
- Continue to innovate and provide effective client solutions.
- Build a strong rapport within the team and with the client.
- Possess strong knowledge of documentation, SOP’s, and process workflows.
- Stay abreast of regulatory developments and industry best practices related to funds to suggest improvements in the client’s process.
- Develop good interpersonal relationships with the clients to get the best information and insights from them.
- Undertake a variety of ad hoc tasks, as required
Key Competencies:
Qualifications/Skills:
- Bachelor’s degree required: preferably in accounting, finance, law, business management or related field.
- Understanding of regulatory landscape in US, UK, or APAC.
- Understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers.
- Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.
- Understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc.
Sound Knowledge in e-comm monitoring and surveillance.
- Strong communication skills – written and verbal.
- Strong proficiency in Microsoft applications.
Preferred skills:
- A certification in financial market or products will be an added advantage.
- Ability to work collaboratively with cross-geographical teams.
- Display team-work orientation and ability to multi-task.
Experience:
- 2-3 years of total experience with strong experience in compliance predominantly in marketing material reviews and financial promotions review.
- Knowledge of funds, private equity, asset management functions.
- Understanding of financial markets and financial instruments, including awareness of securities trading or trade life cycle.
- Familiarity with marketing material review software will be added advantage.
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