The Compliance Associate will assist in ensuring the company's adherence to regulatory requirements and internal policies. Responsibilities include supporting product document reviews, preparing regulatory filings, handling licensing matters, assisting with audits, preparing internal reports, and monitoring regulatory changes. This position offers the opportunity to work with Compliance team members and business stakeholders primarily in Australia, Singapore, and Hong Kong.
The precise requirements of the role will develop over time in response to changing needs of the business, however, we would expect the successful candidate to have the following main responsibilities:
Primary responsibilities/essential functions
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Support the review and maintenance of product disclosure documents and fund offering documents for compliance with internal and regulatory requirements.
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Prepare and submit regulatory filings, ensuring timely and accurate submissions to regulators.
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Handle licensing and registration matters, including the application and cessation of appointed/licensed representatives. Monitor compliance with applicable local licensing regulatory requirements.
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Assist in the company's external audits.
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Collation information and prepare required documentation for reporting to senior management and Board of Directors.
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Assist the compliance team in monitoring regulatory developments and changes, updating policies and procedures, and other ad-hoc tasks and projects as required.
Skills/qualifications
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Bachelor’s degree in accounting/ finance, business, legal or a similar field preferred.
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Minimum 3 years of compliance, risk management, or audit experience in asset management industry.
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Ability to stay organized, work independently, pay attention to details and commit to timeline
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Strong analytical skills, verbal and communication skills, attention to details
In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.
You can learn more about our compensation and benefits here.
* Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans.
We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.
