Key Responsibilities:

• Liaise with regulators and ensure the firm is aligned with the regulatory requirements


• Manage and implement the firm’s compliance policies and framework, work with other team members in other offices to ensure effective practice


• Oversee the implementation of AML/CFT policies, review KYC/AML review on investors, CRS/FATCA filing


• Keep track of new regulatory development and provide updates to the firm


• Review marketing materials and client communications to ensure the contents are aligned with regulatory requirements


• Perform compliance reviews regularly to Identify any potential compliance risks and mitigate issues


• Enhance the effectiveness of compliance policies and controls


• Provide compliance training and updates to the firm’s employees


• Participate in compliance projects when necessary