Job Description

Our client is an investment firm with presence in Asia.Responsibilities:

• Build relationships with Compliance Teams in Singapore, HK, and India to ensure completeness of Investment Compliance responsibilities.
• Maintain pre/post trade OMS rule framework.
• Complete global regulatory reporting requirements (e.g., Substantial Shareholder Disclosures, Short Reporting, 13F).
• Conduct trade and communications surveillance.
• Manage Wall Crossing and Deal Management processes.
• Perform Best Execution Checks.
• Govern Expert Network and Alternative Data usage.
• Handle PA Dealing Approvals.
• Complete new hire and refresher compliance training for all staff.
• Monitor global regulatory updates and update compliance framework accordingly.
• Build strong relationships with the front office to understand trading strategies.
• Advise on global market regulations and support business growth/trading in new markets/products.
• Seek to improve efficiency of Compliance monitoring processes (e.g., AI automation, RegTech vendors).
• Communicate effectively with external parties (e.g., regulators, service vendors, external counsel) on Compliance-related matters.

• Bachelor\'s degree in Law, Finance, or related field. A legal background is highly preferred.
• 3-5 years of experience in a compliance, legal, or regulatory role, preferably within the finance, banking, or shared services industry.
• Strong understanding of global financial regulations (e.g., regulatory reporting, trade surveillance, compliance frameworks) and regulatory filings like 13F and short reporting.
• Excellent communication and relationship-building skills with the ability to work with internal teams and external parties (e.g., regulators, service vendors).
• Familiarity with compliance monitoring tools, AI/automation in compliance processes, and Order Management Systems (OMS) is a plus.

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