Head Of Compliance

Responsibilities:

• conduct compliance functions in Asset Management companies or, Mutual Fund Business
• Knowledge in SEC regulations that related to Asset Management and Mutual Fund business and Anti-money laundering.
• Conduct or direct the internal investigation of compliance issues.
• Review internal procedures/process to be comply with laws and relevant regulations.
• Assess and review in accordance with Compliance Monitoring Audit Program.
• Assist in the preparation for coordinate and assist in the response to SEC and related regulators examinations as required
• Internal training to company employee and subordinate

Qualifications:

• Bachelor or higher in Business Administration, Finance, Economics or related fields
• 3 years of experience in Asset Management / Mutual Fund Skill, SEC or related from securities industry only
• Good in team player and good communication skills
• Good command in English (Writing and reading) if can speaking is preferable