Compliance Associate

2 weeks ago Be among the first 25 applicants Get AI-powered advice on this job and more exclusive features. 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 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 Requirements3 - 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 BenefitsPrivate Health Insurance Pension Plan Performance Bonus Training & Development Paid Time Off Seniority level Seniority level Associate Employment type Employment type Full-time Job function Job function Other Industries IT Services and IT Consulting Referrals increase your chances of interviewing at Infini Capital by 2x Get notified about new Compliance Associate jobs in Hong Kong, Hong Kong SAR . Legal & Compliance Associate - Global Multi-Stra Investment Firm Compliance, Anti-Money Laundering – Analyst Officer, Financial Crime Compliance – 1 year contract (Assistant / Deputy) Compliance Manager (Compliance Review) Assistant Risk and Compliance Manager - Bank of East Asia (Trustees) Limited Assistant Manager, AML Investigations (Financial Crime Compliance Department) Assistant Manager, Business Compliance Periodic Review Team Compliance Analyst / Senior Compliance Analyst Hong Kong, Hong Kong SAR HK$18,000.00-HK$21,000.00 5 days ago AML Analyst - international investment bank Compliance Officer - Primary Markets Compliance Associate, Surveillance and Trading Compliance, Legal and Compliance We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr