
Senior Compliance Director
3 days ago
Job Opportunity
We are seeking a highly experienced and skilled Senior Compliance Manager to lead our compliance efforts. The successful candidate will be responsible for ensuring regulatory adherence, managing investment limits, and overseeing governance and documentation.
Main Responsibilities
- Prepare and review compliance reports, test reports, and regulatory disclosures to ensure accuracy and timeliness before submission to regulators.
- Support the Head of Compliance in preparation and ongoing monitoring of investment limits in the front-office system.
- Draft, revise, and implement compliance-related policies, procedures, and SOPs in line with regulatory updates and internal controls.
- Monitor various functions for regulatory adherence; conduct internal reviews and oversee day-to-day compliance tasks.
- Liaise with auditors, consultants, and other regulators on compliance and audit matters.
- Ensure compliance with anti-money laundering and know-your-customer requirements, review advertisements and investor communications for regulatory compliance.
- Interpret, circulate, and implement regulatory directives as received from time to time.
- Assist in the preparation of disclosure documents and key information memoranda.
- Cross-team coordination with vendors (transfer agents, custodians, fund accountants) and internal teams (operations, risk, investor relations, finance) to ensure correctness and timeliness of submissions and disclosures.
- Evaluate and maintain up-to-date all regulatory disclosures on our website.
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