Key Responsibilities
- Regulatory Compliance: Monitor and ensure compliance with all relevant regulations, including SEC, FINRA, and other applicable laws related to fixed-income investments.
- Policy Development: Develop, implement, and maintain compliance policies and procedures for fixed-income products, ensuring they align with industry standards and regulatory requirements.
- Monitoring and Reporting: Conduct regular monitoring and testing of compliance programs and report findings to senior management. Prepare compliance reports and updates for stakeholders.
- Training and Education: Develop and deliver training programs for investment teams on compliance standards, regulations, and best practices related to fixed-income investments.
- Risk Assessment: Identify compliance risks associated with fixed-income products and work with relevant teams to implement corrective actions.
- Collaboration: Collaborate with portfolio managers, traders, and other stakeholders to ensure compliance processes are understood and followed.
- Audits and Reviews: Assist in internal and external audits, providing necessary documentation and responding to inquiries related to compliance matters.
Qualifications
- Education: Bachelor's degree in Finance, Business, Accounting, or a related field. A master's degree or relevant certifications (e.g., CFA, CAMS) is a plus.
- Experience: Minimum of 4-5 years of compliance experience within the buy-side investment management industry, with a focus on fixed-income products.
- Knowledge: Strong understanding of fixed-income products, trading practices, and relevant regulatory frameworks.
- Skills: Excellent analytical, organizational, and communication skills. Ability to work independently and collaboratively in a fast-paced environment.
- Attention to Detail: Strong attention to detail with the ability to manage multiple priorities and deadlines.
- Strong communication skills in English is a must
iKas International (Asia) Limited is providing recruitment services for this role.
Recruitment Licence Number: 56984
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