Trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reportingCompliance housekeeping matters – Maintain accurate records and documentation relating to corporate and compliance activities, including PA trading and conflicts.Regulatory reporting...
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Trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reporting
Compliance housekeeping matters – Maintain accurate records and documentation relating to corporate and compliance activities, including PA trading and conflicts.
Regulatory reporting – Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC, or AMAC-related filings
Assist in broker account opening KYC process and review of derivatives agreements
Assist in the preparation and timely submission of regulatory filings or various global regulators Help maintain and update regulatory filing calendars and ensure all deadlines are met.
Contribute to the development, updating, and maintenance of the firm’s Compliance Manual and related policies and procedures.
Promote Infini’s compliance awareness and compliance culture and contribute to training topics and presentations
Assist in the administration of the firm's Insider List and associated control measures.
Handle Ad hoc compliance projects
Requirements
3 - 5 years of compliance experience within a hedge fund, asset management firm,or investment bank. (experience from other buy-side firm will be an advantage)
Solid understanding of SFC financial regulations pertaining to investment advisers.
Working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations such as MAS, SEC, AMAC
Bachelor’s degree in Law, Finance, Accounting, or a related field.
Professional certifications (e.g., CFA, FRM) or a legal license are a strong plus.
Strong Analytical Mindset: Ability to analyze complex regulations and apply them to practical business situations.
Excellent Communication Skills: Strong written and verbal communication skills, with the ability to interact professionally with colleagues at all levels.
High Integrity & Discretion: Possess the highest ethical standards and ability to handle confidential information with discretion.
