- Provide Regional Investment Compliance Coverage which include and not limited to the following -
- Pre-Trade Compliance –
- Provide real-time investment compliance advice on trading related matters e.g. ECM activities to front office and other business functions.
- Expert Network Calls Approval and Chaperone.
- Review of pre-trade controls exceptions and liaise with business functions to implement appropriate controls when required.
- Post-Trade Compliance –
- Working closely with stakeholders to ensure the firm’s compliance with trade reporting requirements in Asia e.g. Review daily positions/trades and submit necessary disclosures to issuers and/or regulators in accordance with substantial shareholding and short position reporting requirements.
- Surveillance – These include Personal Account Dealing monitoring, Market Abuse and Best execution monitoring.
- Maintenance of the Firm’s Restricted List.
- Advise front office and senior management on trading related market regulations in major markets within Asia from compliance perspective.
- Advise business functions on trading compliance related policies and controls, including handling of MNPI, market sounding/wall crossing and conflict issues.
- Handle requests and collate responses to various exchanges or regulators.
- Tracking of regulatory changes. This include assessment of regulatory and compliance risks inherent in the business activities and initiating, coordinating and delivering process enhancements where required.
- Compliance Trainings – Design and deliver training on regulatory, compliance policies and procedures to employees.
- Project Implementation – Assist in ad-hoc compliance related tasks and projects.
- 7-10 years relevant experience, preferably in an equity trading hedge fund or asset manager, major regulator, broker and/or compliance consultant.
- Very good working knowledge of the market regulations for trading related activities in Asia. Knowledge of market regulations in other jurisdictions would be advantageous.
- Prior experience in compliance advisory including investment compliance monitoring and post-trade surveillance.
- Depth of experience to manage a challenging workload and tight deadlines.
- A strong understanding of products across different asset classes, particularly equities, fixed income and their derivatives.
- Full spoken and written fluency in English.
