Regulatory Affairs Expert
5 days ago
Responsibilities
The successful candidate will be responsible for ensuring the Business Division's compliance with relevant laws, rules, regulations, and guidelines in the fund management industry.
Key duties include:
- Conducting compliance reviews to identify potential issues and ensure alignment with laws and regulations;
- Monitoring investment and operations activities, including net asset value and asset allocation, to detect any discrepancies or breaches;
- Preparing and submitting regulatory reports to the SC via ComRep (XBRL) and updating policies and procedures manuals to reflect changes in laws and regulations;
- Developing educational materials and presenting training sessions to inform employees about new laws, regulations, and industry developments;
- Examining marketing materials to ensure compliance with regulations;
- Collaborating with senior management to provide information during regulatory visits and audits;
- Completing additional tasks as assigned by the Head of Compliance, Asset Management, prioritizing timeliness and quality.
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