Compliance Officer – UK
- Provide day-to-day compliance support to teams located in and/or trading jurisdictions located in APAC region relating to a broad range of areas, including, but not limited to trading, marketing, and regulatory reporting matters.
- Design, implement, and manage the ongoing compliance support framework as needed for APAC region; coordinate with and manage external compliance consultants.
- Demonstrate deep understanding of global markets trading flow and practices.
- Create audit and test policies, procedures, and controls with a view towards identifying policy, procedure and control gaps and material weaknesses and developing, implementing, and working in a consultative capacity with regional management to introduce revised procedures as required.
- Coordinate with Global Compliance Team and the rest of the infrastructure teams to assure consistency of the control framework on a global basis.
- Design and deliver compliance training on regulatory, compliance policies and procedures.
- Drive assessments of new regulatory requirements, work with the business to ensure that appropriate procedures and controls are implemented to address new requirements.
- Participate in relevant industry group discussion and coordinate within the Firm on global regulatory initiatives that impact trading/execution practices.
- Responsible for liaising with regulators and exchanges and managing regulatory enquiries, with oversight from the CCO/GC.
- Assist other members on the team with ad-hoc compliance issues.
- Bachelor’s degree; a minimum of 8 years of experience in compliance, legal or other control-related function in the asset management industry, a regulatory organization, or legal/consulting firm, or a combination thereof; Advanced degree preferred
- Expertise of Compliance laws, rules, regulations, risks and typologies in APAC region; expertise in EU and or UK regions a strong plus
- Excellent written, verbal and analytical skills
- Must be a self-starter, flexible, innovative and adaptive; comfortable dealing with ambiguity
- Highly motivated, strong attention to detail, team oriented, organized
- Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging to senior management
- Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
- Experience with multi-manager platforms and/or derivatives volatility-focused strategies preferred
- Experience in managing regulatory exams and relationships with examiners, auditors etc.
- Awareness of regulatory requirements including local and US laws, international and industry standards
- Advanced knowledge in area of focus