- Pioneer Capital Market Firm
- High performing and collaborative culture
- Competitive remuneration package
Our client is a pioneer Capital Market firm seeking for a Regulatory Reporting & Investment Compliance personnel to support the company compliance with relevant to investment activities of the private and public market.
The ideal candidate will possess experience within Regulatory Compliance, Investment Monitoring or Operations and solid understanding on regulatory reporting, investment monitoring requirements with strong analytical skills and ability to engage with various stakeholders.
- Assist to implement front to back controls and processes to support company’s compliance with the applicable regulatory reporting requirements and trading / investment restrictions.
- Assess the impact on systems, controls and processes
- Involve in change management activities to ensure compliance with any new regulatory requirements and restrictions.
- To maintain an effective, efficient and sustainable process for necessary regulatory filings
- Work well in team setting and able to communicate well to engage various stakeholders
- 5-8 years’ experience in areas of operations or regulatory compliance
- Solid knowledge in financial products across all asset classes
- Understanding of regulatory reporting and investment monitoring requirements
- Strong analytical, communication and interpersonal skills
EA Licence No.: 15S7496
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