RESPONSIBILITIES

A. COMMUNICATION

Given that Company strives to maintain a high level of integrity in our communications with shareholders. As the Compliance Officer, you’ll play a vital role in ensuring efficient and proper communication.

1. External communication for Company and its Funds corporate matters:

• Dealing with corporate secretaries and registered office agents for Company and its Funds entities.
• Be the go-to person for addressing compliance questions.

2. Internal communication for Company and Funds related matters:

• Facilitate open and smooth communication and coordination among Company departments regarding compliance administration for Company Group entities and Funds under Company’s management regarding Compliance matters.

B. LEGAL REVIEW

• The Compliance Officer is in charge of all Non-disclosure agreements (NDA) and ensures all legal agreements meet the standard requirements for Company and the Funds.

C. COMPLIANCE

1. Company-wide compliance:

• Providing orientation to new employees.
• Conducting annual meetings to review the Code of Ethics & Internal Labour Rules.
• Managing annual filing by all employees.
• Maintaining a list of proposed changes to the Code of Ethics & Internal Labour Rules for review and integration.
• Keeping written records of non-compliance issues with the Code of Ethics & Internal Labour Rules.
• Reporting any non-compliance issues in accordance with the Code of Ethics & Internal Labour Rules, including actions taken to address the situations.

2. Regulatory Compliance:

• Review quarterly trigger event reports for each Fund in coordination with the Compliance Officer.
• Stay informed about changes in the regulatory environment in relevant juridictions. This ensures their compliance with local laws.
• Ensure portfolio companies adhere to the terms agreed upon in legal agreements with the Funds.

3. Compliance Reporting: preparing essential reports:

• Quarterly compliance reports.
• Monthly updates.

4. Completion Precedent (CPs) Check:

• Ensuring that the Transaction Team provides all necessary supporting documents as evidence for CPs completion, as outlined in legal agreements.
• Checking the content of these supporting documents to confirm that CPs requirements are met before investments.

5. Maintaining and Strengthening the Risk Management Systems:

• Conducting monthly reviews and updates (from time to time) for the risk management systems.

D. ADMINISTRATION OF COMPANY GROUP AND ITS FUNDS ENTITIES

• Document Preparation and Management
• Setting up and maintaining a well-organized filing system for important corporate documents.
• Organizing and maintaining electronic files associated with relevant corporate secretaries in the relevant folders on the server;
• Obtaining crucial corporate documents for Company Group entities, like notarized copies of various documents, for various purposes such as licenses and agreements.

REQUIREMENTS

• Experience: A background and passion in Legal & Compliance, ideally with 3-5 years of experience in distinguished Law Firms or corporate legal teams within banking, insurance, or the fund industry.
• Precision & Detail-Oriented: Commitment to maintaining high compliance standards, attention to detail, and result-oriented.
• Risk-Averse: A prudent attitude towards risk management.
• Flexibility with Focus on Problem Solving: Focused on meeting the intention and intended outcomes. Able to find solutions to achieve a bigger goal of the organization.
• Continuous Learning: Embraces open-mindedness and a strong willingness to learn, particularly regarding international laws.
• Communication: a curious mind and direct communicator, proactively asking questions, addressing issues, and speaking up promptly when needed.