Our client is a premier asset management provider (AUM excess of $20 billion) with a strong presence in US, Europe, and Asia. Their regulatory reporting team is looking for a Compliance Manager with OTC Derivatives, transaction reporting, operations, and regulatory reporting experience to contribute towards successfully meeting the firm’s regulatory reporting obligations. Responsibilities and scope of role will include various aspects of the MAS OTC Derivatives Transaction reporting function – both daily control functions and project/business analysis within the Regulatory Reporting Department.
Please contact Sophia Lin on +65 6850 7206 or email your cv directly in word format with job reference no.10613 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
- Working closely with stakeholders to ensure the firm’s compliance with MAS OTC Derivatives Reporting requirements and other trade reporting requirements
- Managing SEBI FPI license compliance
- Monitoring the firm’s trading activities to ensure compliance with global trading regulations and internal policies
- Maintaining the firm’s restricted trading list
- Providing real-time trading guidance and overrides (if permissible) to front office staff
- Administering and monitoring regulatory reporting requirements (e.g., long and short positions reporting)
- Tracking pertinent regulatory changes, assessing impact on business operations, amending relevant policies and procedures, and communicating changes as necessary
- Reviewing and/or drafting compliance documentation, regulatory applications, regulatory filings/notifications, reports, manuals, policies/procedures, correspondence, and records
- Implementing compliance monitoring programs on trade monitoring/reviews
- Assisting with ad-hoc legal and compliance tasks and projects, including technology enhancements
- Providing regional compliance coverage (Hong Kong, Singapore, Japan, China)
Delivering periodic compliance training to staff
Role requirements
- At least 7 years of relevant experience, preferably in an equity trading or asset management firm, securities regulator, broker, law-firm, or compliance consultant
- Thorough knowledge of Singapore securities laws including the Securities and Futures Act, the Capital Markets Services License regime and associated rules, regulations and guidelines, and the OTC Derivatives reporting regime
- Minimum of a bachelor’s degree. Strong computer literacy (Proficient with Bloomberg and Excel, programming skills not required)
- Excellent interpersonal, communication, and analytical skills (written and verbal) and the ability to work with stakeholders at all levels
- Strong principles and ethics and a meticulous approach to the work being undertaken
Candidates with experience of compliance issues relating to quantitative / systematic trading and/or the MAS’s OTC derivatives reporting regime may be preferred.