Senior Compliance Officer, External Asset Management

Our client is a Capital Markets Services (CMS) licensed firm specializing in Fund Management and External Asset Management (EAM) services for High-Net-Worth Individuals (HNWIs), Ultra-High-Net-Worth Individuals (UHNWIs), Accredited Investors, and Family Offices.

Requirements

• Lead the development, implementation, and ongoing refinement of the firm's compliance policies, procedures, and internal control framework
• Oversee all regulatory filings, surveys, and renewals
• Provide expert guidance on regulatory compliance matters
• Conduct routine compliance reviews and investigations
• Stay informed on evolving regulatory developments
• Coordinate internal and external audits
• Deliver ongoing compliance training to internal stakeholders

Benefits

• Competitive salary
• Opportunities for career growth and professional development
• Collaborative and dynamic work environment