VP – Trading Compliance (Based in Singapore)

The role will be advising and ensuring compliance with market regulations on trading related activities for quantitative, long/short, and macro investment strategies including trade / transaction reporting requirements (e.g., the MAS’s OTC derivatives contract reporting regulations).

You will be responsible for the following:

• Providing real-time trading guidance to front office staff and administering and monitoring regulatory reporting requirements (e.g., long and short positions reporting) and maintaining the firm’s restricted trading list
• Monitoring the firm’s trading activities to ensure compliance with global trading regulations and internal policies
• Working closely with stakeholders to ensure the firm’s compliance with MAS OTC Derivatives Reporting requirements and other trade reporting requirements
• Tracking regulatory changes and its impact on business operations, amending relevant policies and procedures, and communicating changes as necessary
• Reviewing and/or drafting compliance documentation, regulatory applications, regulatory filings/notifications, reports, manuals, policies/procedures, correspondence, and records
• Implementing compliance monitoring programs on trade monitoring/reviews
• Assisting with ad-hoc legal and compliance tasks and projects, including technology enhancements
• Providing regional compliance coverage and delivering periodic compliance training to staff

To qualify for this role, you must have the following requirements: 

• A minimum 7 years of relevant experience, preferably in an equity trading or asset management firm, securities regulator, broker or compliance consultant
• Thorough knowledge of Singapore securities laws including the Securities and Futures Act, the Capital Markets Services License regime and associated rules, regulations and guidelines, and the OTC Derivatives reporting regime
• Strong computer literacy with strong interpersonal, communication, and analytical skills (written and verbal) and the ability to work with stakeholders at all levels
• Strong principles and ethics and attention to details
• Candidates with experience of compliance issues relating to quantitative / systematic trading and/or the MAS’s OTC derivatives reporting regime may be preferred.

If you are interested in this role, please send your cv to d.lim@alsrecruit.com .  Only shortlisted candidates will be notified.