Compliance Associate - Control Room

We are recruiting a Compliance Associate for the Control Room team for a top-tier hedge fund. Key responsibilities of the role include wall crossing management, short sale ban & restricted list oversight, surveillance & monitoring, and data management & technology integration.

Aptitude Asia - Hong Kong - Full time

Salary: Highly Competitive

Key Responsibilities:

  • Manage wall-crossing events, including material non-public information (MNPI) and strategic transactions, ensuring accurate records of wall-crossed individuals and related information flow.
  • Monitor global short sale restrictions to uphold firm-wide regulatory compliance.
  • Develop surveillance triggers to detect potential MNPI breaches or restricted trading.
  • Analyze large datasets from internal and external sources using tools like SQL and Python.
  • Collaborate with front office, legal, and deal teams on transaction protocols and regulatory inquiries.

Requirements:

  • Bachelors degree holder with 3+ years of experience in Control Room roles
  • Advanced Excel skills are required for handling large datasets. SQL skills would be a plus.
  • Fluency in English is a must. Mandarin language skills are desirable but not required.
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