- Handle market conduct advisory and surveillance matters relating to fund management and dealing activities of Asia Pacific jurisdictions
- Managing inside information including interacting with the investment desks in order to maintain the firm’s restricted lists and maintaining records in line with internal policy
- Managing Chinese wall and conflict of interest issues including providing advice, guidance and responding to queries from investment desks relating to trade restrictions
- Conducting checks to assess unusual trading activities and possible market misconduct including conducting internal inquiries and investigations as necessary
- Advising on various conflicts of interests matters across the different investment desks in the region
- Providing support to global compliance teams in US and UK on various conflicts of interest issues
- Drafting and updating current market conduct policies
- Tertiary qualification in Finance, Business, or related fields
- At least 5 years working experience in the control room function, market conduct and surveillance.
- Good knowledge of market conduct rules and their application to different asset classes including equities, fixed income (incl. OTC markets) and alternatives (i.e. property, loans and private equity).
EA Reg No. R1105334