Compliance housekeeping matters – Maintain accurate records and documentation relating to corporate and compliance activities, including PA trading..
Compliance housekeeping matters – Maintain accurate records and documentation relating to corporate and compliance activities, including PA trading and conflicts
Regulatory reporting – Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC, or AMAC-related filings
Assist in broker account opening KYC process and review of derivatives agreements
Regularly update and maintain compliance policies
Assist in the preparation of gap analysis and reports to senior management and regulatory agencies on the Company’s overall compliance framework
Trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reporting
Stay up-to-date on changes to relevant legal and regulatory requirements and industry standards
Promote Infini’s compliance awareness and compliance culture and contribute to training topics and presentations
Review basic agreements with counterparties
Handle Ad hoc compliance projects
4 - 8 years of hedge fund compliance (experience from other buy-side firms will be an advantage)
University degree in a relevant field or law-related background will be an advantage
Be able to work independently and complete tasks in a timely manner
Working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations such as MAS, SEC, AMAC
Familiarity with derivatives will be an advantage
Familiarity with Bloomberg, Charles River, Enfusion, EZE, or other compliance/ OMS systems will be an advantage
Strong work ethic, communications, and interpersonal, analytical, and presentation skills
Ability to work with minimal supervision, proactively, and follow tight deadlines
Good command of written and spoken English and Mandarin
Candidates with less experience will be considered as Compliance Associate
Job Responsibilities Regularly update and maintain compliance policies Compliance housekeeping matters – Maintain accurate records and documentation..
Job Responsibilities
Regularly update and maintain compliance policies
Compliance housekeeping matters – Maintain accurate records and documentation relating to compliance activities, including PA trading and conflicts
Monitor and assess compliance risks associated with the company's activities
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 the latest regulatory requirements that apply to hedge fund business and implement such regulations with legal and operations departments as necessary
Work closely with internal stakeholders to develop and implement compliance programs and initiatives
Liaise with regulators for general enquiries and onsite inspections, and with auditors with respect to audits
Regulatory reporting – Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC related filings
Manage PA dealings, conflicts of interests within the firm
Participate in the firm’s Vendor Management process
Administer the firm’s wall-crossing and travel policies
Responsible for trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reporting
Bachelor's degree in a relevant field such as finance, business, or law
Minimum of 7 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
Previous experience in financial audit or with a regulator is a plus
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., CPA, CAMS, CFE, CRCMP) are highly desirable
Fluency in English and Mandarin is required (Candidate speaking is a plus)
