Senior Compliance Officer

Key Responsibilites:

• Develop and enhance the Compliance framework to handle thematic reviews as well as regulatory projects
• Carry out the Compliance Monitoring including trade monitoring and surveillance, trade and transaction reporting and net short position reporting
• Conduct gap analysis and compliance desk reviews as well as annual compliance reviews
• Assist with monitoring regulatory developments and updating compliance policies/procedures as required
• Day-to-day compliance activitives such as onboarding, new hires and annual compliance trainings.

Key Requirements:

• Practical experience with trade and non-trade related compliance matters
• Exposure to/understanding of different types of instruments (equities, equity derivatives, macro and credit)
• Konweldge of insider dealing rules and regulations
• Knowledge of hedge funds, investment advisory functions and research