Our client, an APAC focus investment management firm with an established team of investment professionals is looking for a Head of Compliance. This role is based in Singapore and is crucial for maintaining the integrity and compliance for the organization’s operations.
Please contact Sophia Lin on +65 6850 7206 or email your cv directly in word format with job reference no. 12735 to corporategovernance@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
corporategovernance@theedgepartnership.com
Key responsibilities
> Develop and enhance the firm’s compliance framework, ensuring it aligns with both current regulatory demands and best practices.
- Develop, implement, and maintain the trade surveillance program to detect and prevent market abuse, insider trading, and other forms of misconduct.
- Manage the compliance aspects of MNPI, ensuring all employees understand and adhere to relevant policies and procedures.
- Oversee and manage PA trading policies, ensuring compliance with internal guidelines and external regulatory requirements.
- Supervise and refine the firm’s AML and KYC processes, ensuring all client relationships comply with global regulatory standards.
- Conduct periodic reviews and updates of compliance policies and procedures to reflect changes in laws, regulations, and market conditions.
- Provide compliance advisory services across all levels of the firm, acting as a trusted advisor on compliance issues and new regulatory developments.
- Develop and lead training sessions for staff on compliance matters, enhancing the compliance culture within the firm.
- Prepare and present compliance reports to senior management and regulatory bodies as required.
- Liaise with external regulators and advisors to ensure the firm’s compliance strategies are robust and effective.
Role requirements
> Degree in Accountancy, Banking, Finance, Business or Law, or relevant professional qualification in financial services.
- Min 10 to 15 years of experience in compliance within a hedge fund or other fund management companies
- Deep understanding of financial markets, trading strategies, and the regulatory environment.
- Strong analytical skills and attention to detail, with the ability to identify and investigate suspicious activities effectively.
- Extensive knowledge of trading systems, financial regulations, and compliance practices related to trade surveillance, AML/KYC etc.
- Strong ethical standards and professionalism, with excellent communication and interpersonal skills. An ability to influence and engage at all levels of the organization