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Senior Compliance Director
Salary undisclosed
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- Provide direct support to the Head of Asia Compliance to manage the compliance priorities for the Asia region;
- Maintain a strong compliance presence within, and provide compliance oversight for all regional offices in Asia;
- Provide research and trading related compliance counsel to the investment staff in relation to day to day business matters;
- Assist with enforcing compliance policies as it applies to the firm's Asia business on a day to day basis;
- Monitor regulatory developments and stay ahead of them to update compliance policies and procedures as required
- Educate investment and non-investment staff with regard to trading related compliance requirements on an ongoing basis;
- Assist with surveillance, testing and other key parts of the compliance program and forensic testing to satisfy ongoing compliance obligations;
- Keep track of industry leading compliance practices and adopt and implement such practices to continually enhance the firm's compliance program;
- Complete and submit regulatory filings with local regulators in a timely and high quality manner;
- Escalate matters to the global Compliance leaders and the regional Business leaders as necessary
- Minimum 10 years of relevant compliance experience working for Hedge Funds or at global investment banks covering global markets compliance
- Minimum 3 years of compliance experience working at a multistrategy hedge fund will be a bonus
- Familiar with financial instruments such as equities, FX, fixed income
- Broad set of responsibilities spanning investment compliance, business compliance, regulatory compliance and employee compliance.
- Strong familiarity with regulations related to insider trading, market manipulation and other forms of market misconduct.
- Experience communicating with regulators on behalf of the firm.
- Experience working on a variety of compliance software spanning employee requests, surveillance, archiving, analytics etc.
- Experience working closely with regional and global management teams.
- Experience managing a regional team of compliance officers.
- Bachelors Degree is a must. Masters Degree or CFA or other industry certifications are a plus.
- Provide direct support to the Head of Asia Compliance to manage the compliance priorities for the Asia region;
- Maintain a strong compliance presence within, and provide compliance oversight for all regional offices in Asia;
- Provide research and trading related compliance counsel to the investment staff in relation to day to day business matters;
- Assist with enforcing compliance policies as it applies to the firm's Asia business on a day to day basis;
- Monitor regulatory developments and stay ahead of them to update compliance policies and procedures as required
- Educate investment and non-investment staff with regard to trading related compliance requirements on an ongoing basis;
- Assist with surveillance, testing and other key parts of the compliance program and forensic testing to satisfy ongoing compliance obligations;
- Keep track of industry leading compliance practices and adopt and implement such practices to continually enhance the firm's compliance program;
- Complete and submit regulatory filings with local regulators in a timely and high quality manner;
- Escalate matters to the global Compliance leaders and the regional Business leaders as necessary
- Minimum 10 years of relevant compliance experience working for Hedge Funds or at global investment banks covering global markets compliance
- Minimum 3 years of compliance experience working at a multistrategy hedge fund will be a bonus
- Familiar with financial instruments such as equities, FX, fixed income
- Broad set of responsibilities spanning investment compliance, business compliance, regulatory compliance and employee compliance.
- Strong familiarity with regulations related to insider trading, market manipulation and other forms of market misconduct.
- Experience communicating with regulators on behalf of the firm.
- Experience working on a variety of compliance software spanning employee requests, surveillance, archiving, analytics etc.
- Experience working closely with regional and global management teams.
- Experience managing a regional team of compliance officers.
- Bachelors Degree is a must. Masters Degree or CFA or other industry certifications are a plus.