APAC Investments Advisory Compliance (Alternatives)

Level: Director

Client: International Asset Manager

Location: Hong Kong

Job Summary:

As a member of this team, this individual will work closely with their regional and global compliance counterparts to improve and ensure a globally consistent Alternatives Investment Compliance framework for the organisation’s global Alternatives Investors (BAI) strategy. Provide advice and support to a variety of Alternatives investment as well as other investment teams across the region.

We are seeking an individual with an outstanding Investment Compliance experience with either a strong background in asset management, a buy-side financial services firm or sell-side banking institution.

Key Responsibilities:

  • Providing compliance and regulatory advice to the organisation’s APAC Alternative investment teams with respect to:

    • compliance with local, regional and global laws, regulations, best practices and the organisation’s policies

      and procedures; and

    • based on a strong understanding of the organisation’s fiduciary obligations and its commercial and business

      objectives.

  • Collaboration with Financial Crime, Legal and Risk & Quantitative Analysis functions in the provision of

    advice and guidance to investment teams.

  • Participation in global and/or regional compliance initiatives to ensure consistency in the regional

    coordination of tasks.

  • Reviewing marketing and distribution materials.

  • Assisting in maintaining the integrity of the organisation's information barriers

  • Supervising local and regional regulatory developments and evaluating their impact on the business

Qualifications:

  • Relevant working experience in investment compliance related to investment in real estate, infrastructure, private equity or credit, infrastructure.

  • Candidate should be knowledgeable with the regulatory environment for alternative investments across APAC

  • Understand asset management compliance programs including monitoring and surveillance (e.g. controls around Insider Trading regulations and handling Conflicts of Interests)

  • An understanding of financial crime such as AML and Anti Bribery and Corruption issues in APAC • Strong attention to detail.

  • Ability to interact and negotiate with key internal and external business partners.

  • Strong written/verbal communication, organizational, and interpersonal skills.

  • University degree in Law/Finance/Accounting/Business/Economics preferred.

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