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Compliance Manager - Hedge Funds

Cornerstone Global Partners Singapore
Posted 6 days ago Permanent Competitive
z
Posted by
zhong zhengnan Paul Zhong
Recruiter

My client is an internationally recognised financial institution in the hedge funds space. They are looking for someone to join them covering fund management compliance advisory.

You will be required to 

  • Maintain a track and keep team informed on new laws and regulations or any amended thereto related to MAS, Exchange, SEC etc
  • Thorough knowledge of Securities and Futures Act and related rules
  • Keep abreast of all related local and regional compliance matters, and international marketing rules
  • Perform KYC checks and represent compliance function during client onboarding meeting
  • Conduct periodical reviews (business process reviews and compliance audits) to ensure that the Company complies with rules and regulations
  • NFA declaration, MAS reporting and other relevant filings and reporting
  • Develop system to mitigate risk of abnormal trades (SMP, cancellation etc)
  • Provide compliance advisory support to Business units
  • Preparation, review and update of Compliance Manual and key procedure documents
  • Prepare, provide and submit various compliance related reports to internal and external stakeholders as necessary
  • Provide regulatory support in evaluating criteria, provide opinion, prepare documentation work, liaise with exchanges/ regulatory authorities in getting new licenses for the business
  • Ensuring the conditions and requirements related to new licenses are fulfilled
  • Conduct periodic checks and raise red flag in advance of any potential breach
  • Track market limits and have checks and balances to ensure compliance
  • Highlight any change in exchange laws/ limits which may potentially affect the business and work towards mitigation for any adverse impact

 

R22104464
EA: 19C9859

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