Compliance Manager
2 weeks ago
Space Exec is partnered with a dynamic global investment group at the forefront of innovation, spanning asset management, digital assets, quant trading, and cutting-edge financial strategies.
As Compliance Manager, you will play a pivotal role in embedding robust compliance practices into our operations, ensuring agility in the group's expansion and alignment in evolving regulatory landscapes.
If you are keen to be an integral part of a forward-thinking team, shaping the future of global finance - please write in with your latest CV to tlim@space-exec.com and we will be in touch shortly
Key Responsibilities:
- Design and maintain compliance frameworks to meet regulatory and operational requirements.
- Conduct periodic reviews and assessments to identify and mitigate compliance risks.
- Serve as the key contact for regulatory bodies, handling licensing, audits, and inquiries.
- Provide training and guidance to teams on compliance standards and policies.
- Support regulatory engagements and manage responses to inspections or investigations.
- Monitor regulatory changes and drive updates to policies and procedures.
Key Requirements:
- Bachelor’s degree in Finance, Law, or related field.
- Proficiency in Chinese to communicate with key stakeholders in Asia.
- 5+ years’ experience in compliance, ideally within asset management or related industries.
- Strong expertise in FCA regulations; crypto or digital asset knowledge is advantageous.
- Proven experience in managing compliance frameworks and risk controls.
- Relevant certifications (e.g., CFA, CRCM) are a plus.
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