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
