Oversee compliance operations including regulatory reporting, KYC processes, trade surveillance, and policy updates while educating staff on compliance matters.
- 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
Requirements
- 7+ 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 Manager
Top Skills
Bloomberg
Charles River
Enfusion
Eze
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