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Senior Compliance Manager
Infini Capital Management LimitedCentral, Central, HK30 天前
职位类型
- Quick Apply
职位描述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 Regularly update and maintain compliance policies Assist in the preparation of gap analysis and reports to senior management and regulatory agencies on the Company’s overall compliance framework Trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reporting Stay up-to-date on changes to relevant legal and regulatory requirements and industry standards Promote Infini’s compliance awareness and compliance culture and contribute to training topics and presentations Review basic agreements with counterparties Handle Ad hoc compliance projects
Requirements
- 7+ years of hedge fund compliance (experience from other buy-side firms will be an advantage)
- University degree in a relevant field or law-related background will be an advantage
- Be able to work independently and complete tasks in a timely manner
- Working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations such as MAS, SEC, AMAC
- Familiarity with derivatives will be an advantage
- Familiarity with Bloomberg, Charles River, Enfusion, EZE, or other compliance / OMS systems will be an advantage
- Strong work ethic, communications, and interpersonal, analytical, and presentation skills
- Ability to work with minimal supervision, proactively, and follow tight deadlines
- Good command of written and spoken English and Mandarin
- Candidates with less experience will be considered as Compliance Manager
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