Job Description
Position: Senior Compliance
Location: Central London
Permanent position
5 days a week onsite working
UK Visa Sponsorship
Language: English, Mandarin Chinese
This is a permanent position at a well-established investment company. You will play a critical role in supporting the company's compliance efforts across various facets, including AML/KYC, monitoring regulatory developments, investment process oversight, and corporate policy enforcement. This position offers the opportunity to work closely with both internal teams (including headquarters and other overseas offices) and market leading financial institutions, ensuring that the company adheres to all applicable regulatory and internal compliance best-in-class practices and standards.
Main Responsibilities:
1. AML/KYC and Regulatory Compliance • Assist in conducting AML/KYC procedures with various counterparties and maintain detailed and accurate compliance records. • Stay abreast of developments in the regulatory landscape including AML/KYC, sanctions, foreign direct investments, anti-trust and data protection matters. Advise management on relevant compliance matters.
2. Investment and Asset Management Process Oversight • Ensure all investment processes comply with both regulatory and internal guidelines. • Perform compliance reviews on investment and asset management activities to uphold organizational standards.
3. Compliance Policy Implementation and Training • Support the implementation of compliance policies encompassing matters relating to conflicts of interest, insider trading, anti-bribery and corruption and data protection. • Participate in enhancing existing compliance measures and developing new initiatives. • Facilitate compliance training sessions for employees to foster understanding and adherence to internal policies and applicable laws.
4. Operational Compliance Monitoring and Filing • Conduct regular compliance audits and inspect various business functions to ensure compliance with established protocols and regulations. • Conduct operational compliance monitoring and filing.
Requirements • Bachelor's and/or Master's degree in Law, Business, Finance or a related field. • Relevant experience in compliance, legal, or corporate secretarial roles with recognized institutions in the financial services and/or legal professional services sector. • A self-motivated player with a proactive learning attitude and a commitment to developing compliance expertise. • High integrity and attention to detail. • Fluency in both English and Chinese (verbal and written) is a must. #J-18808-Ljbffr
Location: Central London
Permanent position
5 days a week onsite working
UK Visa Sponsorship
Language: English, Mandarin Chinese
This is a permanent position at a well-established investment company. You will play a critical role in supporting the company's compliance efforts across various facets, including AML/KYC, monitoring regulatory developments, investment process oversight, and corporate policy enforcement. This position offers the opportunity to work closely with both internal teams (including headquarters and other overseas offices) and market leading financial institutions, ensuring that the company adheres to all applicable regulatory and internal compliance best-in-class practices and standards.
Main Responsibilities:
1. AML/KYC and Regulatory Compliance • Assist in conducting AML/KYC procedures with various counterparties and maintain detailed and accurate compliance records. • Stay abreast of developments in the regulatory landscape including AML/KYC, sanctions, foreign direct investments, anti-trust and data protection matters. Advise management on relevant compliance matters.
2. Investment and Asset Management Process Oversight • Ensure all investment processes comply with both regulatory and internal guidelines. • Perform compliance reviews on investment and asset management activities to uphold organizational standards.
3. Compliance Policy Implementation and Training • Support the implementation of compliance policies encompassing matters relating to conflicts of interest, insider trading, anti-bribery and corruption and data protection. • Participate in enhancing existing compliance measures and developing new initiatives. • Facilitate compliance training sessions for employees to foster understanding and adherence to internal policies and applicable laws.
4. Operational Compliance Monitoring and Filing • Conduct regular compliance audits and inspect various business functions to ensure compliance with established protocols and regulations. • Conduct operational compliance monitoring and filing.
Requirements • Bachelor's and/or Master's degree in Law, Business, Finance or a related field. • Relevant experience in compliance, legal, or corporate secretarial roles with recognized institutions in the financial services and/or legal professional services sector. • A self-motivated player with a proactive learning attitude and a commitment to developing compliance expertise. • High integrity and attention to detail. • Fluency in both English and Chinese (verbal and written) is a must. #J-18808-Ljbffr
