Job Responsibilities Develop and implement compliance policies and procedures to ensure adherence to relevant laws and regulations Monitor and assess ..
Job Responsibilities
Develop and implement compliance policies and procedures to ensure adherence to relevant laws and regulations
Monitor and assess compliance risks associated with the company's activities
Responsible for trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reporting;
Conduct compliance training programs for employees to enhance awareness and understanding of compliance obligations
Review and approve marketing materials, client communications, and other externally facing documents to ensure compliance
Perform regular compliance audits and assessments to identify potential issues and implement corrective actions
Keep abreast of regulatory developments and update senior management on potential impacts to the business
Work closely with internal stakeholders to develop and implement compliance programs and initiatives
Liaise with regulators and external auditors during inspections and audits
Bachelor's degree in a relevant field such as finance, business, or law
Minimum of 5 years of experience in compliance within the financial industry, preferably in hedge funds or asset management
Sound knowledge of applicable regulations and laws, such as SFC regulations
Strong analytical and problem-solving skills
Excellent communication and interpersonal skills to effectively liaise with stakeholders and regulators
Detail-oriented with the ability to handle multiple tasks and prioritize effectively
Professional certifications in compliance (e.g., CAMS, CFE, CRCMP) are highly desirable
