Provide advisory support and serve as resource to departments in ASDV regarding compliance and control issues.
Maintenance of risk control register, conduct ongoing review of key risk areas, perform risk assessments to identify gaps and formulate measures to enhance effectiveness of controls.
As 1 LOD, proactively manage surveillance and compliance reviews by 2 LOD, by identifying and addressing control weaknesses ahead of 2LOD review, coordinate business responses to information requests and ensuring findings are remediated promptly
Oversee COI and PSI controls within department, incl. wall crossing procedures, information barrier protocols and restricted list maintenance.
Review pitchbooks for regulatory compliance, fair dealing, disclosure accuracy for required disclaimers and cross border marketing distribution.
Assess Accredited Investor/Institutional Investor status based on complex structure...