Our client, a global alternative management firm, is currently seeking an APAC Compliance Officer based in London, UK.
The successful candidate will be providing day-to-day compliance support to teams located in APAC regions on a broad range of areas, from marketing to trading to regulatory reporting.
Key responsibilities for this position will include, but are not limited to:
Creating audits and testing policies, procedures and controls to identify gaps and to introduce revised procedures as needed
Designing, implementing and managing the ongoing compliance support framework as required for the APAC region
Proactive coordination with the firm's global compliance team and other key staff members to ensure global consistency of the control framework
Designing and delivering compliance training to members of staff
Keeping abreast of regulatory changes and working with the firm to ensure that relevant procedures and controls are in place to address these changes
Lead the liaising with regulators and the management of regulatory enquiries, with oversight from the firm's CCO/GC
Providing assistance with other ad hoc compliance matters
Educated to a degree level
At least 8+ years of experience in a compliance or legal function either for an asset manager, a regulated business and/or a legal or consulting firm
Sound knowledge and expertise of Compliance laws, rules, regulations as well as typologies in the APAC region
Knowledge and expertise with multi-manager platforms or derivatives, volatility-focused strategies preferred
An awareness of regulatory requirements, including US laws as well as local ones, international and industry standards
For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11332
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.