Job Description

Our client, a global commodity focused investment firm with a global presence is looking for a Senior Compliance Manager (focusing on Equities) to join them in Singapore, reporting to the Head of Asia - Compliance.
Please contact Sophia Lin via email, you can email your cv directly in word format with job reference no.15115 to Sophia@theedgepartnership.com
Please note that due to the high number of applications only shortlisted candidates will be contacted. If you do not hear from us in the next 5 business days we regret to inform you that your application for this position was unsuccessful.
EA Licence: 16S8131
Recruiter Licence: R22104669 Sophia@theedgepartnership.com
Key responsibilities

• 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 7 years of relevant compliance experience working for Fund Managers/ Banks/ Hedge Funds covering Global Markets related Compliance focusing on Equities.
• 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.
• Have a good understanding of financial instruments especially Equities, FX, Commodities (good to know) Derivatives etc.
• Experience communicating with regulators on behalf of the firm.
• Experience working on a variety of compliance software spanning employee requests, surveillance, archiving, analytics etc.
• Bachelors Degree is a must.
• Masters Degree or CFA or other industry certifications are a plus.