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.
Requirements:
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.