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VP – Trading Compliance (Based in Singapore)

ALS International Singapore
Posted 1 day ago Permanent Attractive
Our client is a global firm that invests in multiple asset classes and strategies worldwide. Our client is looking for an experienced Compliance Officer at VP level to join the team in Singapore who support global investment and trading activities by establishing and monitoring compliance the firm’s policies, and applicable regulation, providing real-time advice, and conducting pre and post trade surveillance.

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 .  Only shortlisted candidates will be notified.

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