Registered Funds Compliance Officer - Global Wealth
职位介绍
Provide guidance and support to teams managing Regulated Funds and co-investment activities to ensure ongoing regulatory compliance.
Advise on core compliance matters, including transactions under co-investment orders, and assist with related controls.
Maintain current expertise on the regulatory environment and industry practice, implementing new rule changes as needed.
Conduct annual risk assessments of the Regulated Funds and escalate issues promptly.
Participate in audits and reviews of the funds' compliance program.
Collaborate with Legal, product development, and Global Wealth teams; review marketing materials and develop robust policies and procedures.
Advise on core compliance matters, including transactions under co-investment orders, and assist with related controls.
Maintain current expertise on the regulatory environment and industry practice, implementing new rule changes as needed.
Conduct annual risk assessments of the Regulated Funds and escalate issues promptly.
Participate in audits and reviews of the funds' compliance program.
Collaborate with Legal, product development, and Global Wealth teams; review marketing materials and develop robust policies and procedures.
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