You will be part of a team that specializes in researching, managing and implementing response to all regulatory provisions that affect the firm’s investments with internal and external advisors, focusing on regulatory reporting to applicable regulatory bodies globally. Responsibilities include reviewing new products, markets, reputation analysis of all product lines as regulations evolved, as well as being the resident expert on regulatory implementation. The group also monitors investment against restrictions/limits in all relevant jurisdictions arising from the investment activities of the public and private markets.
You will leverage internal and external advisors to assess global regulations with good understanding and application to the company’s investments. You will research, manage and implement responses to all the provisions that affect the firm, communicating implications of an existing and proposed regulation to executive management, and developing potential responses. You will provide compliance responses and expertise to the business e.g. vetting of proposed transactions, new products, considering internal and regulatory requirements for all product lines.
Additionally, you will develop and review policies and procedures, including coding of rules in execution platforms, to ensure control and appropriateness and adequacy against industry best practices and regulatory requirements.
To qualify, individuals must possess:
– Bachelor qualified
– Minimum 2 years of relevant experience
– Must have experience in regulatory compliance and investment monitoring function
– Must have good product knowledge across a wide range of investment classes (equities, derivatives, fixed income, and multi-asset)
– Good eye for details and meticulous in nature.
– Excellent communication and collaborative skills.
– Experience with establishing and meeting critical deadlines, as well as tracking and driving execution.
Please contact Angelica DY at or for a confidential discussion
EA License no: 16S8066 | Registration No: R
Only successful candidates will be notified.