Provide Regional Investment Compliance Coverage which include and not limited to the following - Pre-Trade Compliance – Provide real-time invest..
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.
