- 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.
Benefits
- Private Health Insurance
- Pension Plan
- Performance Bonus
- Training & Development
- Paid Time Off