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Regulatory Compliance Specialist

Legal and Compliance - Assistant Manager​/Manager​/Senior Manager

Job in Austin, Travis County, Texas, 78716, USA
Listing for: NACBA
Full Time position
Listed on 2026-10-05
Job specializations:
  • Law/Legal
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 90000 - 130000 USD Yearly USD 90000.00 130000.00 YEAR
Job Description & How to Apply Below
Responsibilities:
  • Provide day-to-day compliance advisory support to business units;
  • Review and advise on matters relating to SFC-authorized funds, Cayman funds and Discretionary accounts;
  • Support regulatory filings, notifications, and ongoing reporting obligations;
  • Provide compliance guidelines and support the routine compliance work, including licensing, AML/CFT, KYC, marketing material review, AEO/CRS/FATCA, and regulatory filing process;
  • Prepare the policy and guidelines of the new business development or regulatory changes;
  • Conduct regular compliance review;
  • Support the senior management in maintaining strong governance and regulatory oversight across the business;
  • Perform other related duties and ad hoc assignments as required.
    • Requirements:
  • Bachelor's Degree holder or above in Law, Finance or related disciplines;
  • Minimum 3 years of experience in asset management or consulting firms;
  • Basic understanding of compliance review;
  • Good report writing, analytical and interpersonal skills;
  • Responsible, proactive, detailed-mind, good self-disciplined and well-organized with good communication skills;
  • High computer literacy i.e. Word, Excel, PPT, etc.;
  • Good command in written and spoken English and Chinese including Putonghua;
  • Candidates with less experience will be considered as Assistant Manager, with more experience will be considered as Senior Manager.
    • Position Requirements
    10+ Years work experience
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