VP, Senior Compliance Officer

Position : Title : VP, Senior Compliance Officer Department : Legal & Compliance Department Job Description : · Enforce policies and procedures by tracking actions through various tools as well as also conduct training sessions to raise awareness among employees and ensure that they follow the policies effectively. · Conducts examinations and creates an analytical report to assess the efficiency of the compliance policy and procedure enforcement. · Reviews marketing material before publishing to client. This marketing material must be in line with local regulation. · Performs compliance review and risk assessment to ensure the internal control is in line with regulation. · Provides an advice regarding Business Development matters. · Submits the report to the SEC as required by SEC's regulation or according to fund prospectus such as complaint report. · Communicates and disseminates relevant laws, regulations, rules and notifications to staff. · Conducts monitoring review to ensure that the internal control is appropriated and in line with SEC's regulation. · Prepare compiling compliance analysis reports to management Requirements : · Master/ Bachelor degree in legal/business · At least 5-7 years experiences in Compliance from asset/ fund management company · Good understanding of SEC regulations · Exposure to compliance issues and practice. · Excellent communication & writing skills.