Compliance Operations-Control room and Chaperoning

Job Purpose:

This role is part of corporate and forensic compliance team and works closely with stakeholders for control room inbox coverage, chaperoning, hedge fund procedures, data room access administration and Vendor checks

• One of the key responsibilities will be to support and deliver the objectives of clients and ensuring that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations and all evidence is collected and preserved in a manner prescribed by the clients

Key Responsibilities

• Being proficient in all key compliance control room activities such as watch/restricted list maintenance, wall crossing, insider lists, information barrier, reconciliation of portfolio companies list against restricted trading list

• Responsible for the accurate and timely maintenance of the firm’s restricted trading lists in accordance with regulatory requirements and internal policies Acuitykp.com

• Maintenance of Conflicts tracker and assisting with deal flow coordination

• Support Hedge fund’s trading and portfolio management teams by conducting sector performance reviews, maintaining the trade blotters, and performing trade allocation reviews

• Managing and controlling access to data rooms

• Manage and oversee the approval process for expert calls, conducting post call reviews and live chaperoning

• Manage the onboarding of new vendors and conduct ongoing monitoring of the vendor portfolio

• Ensure compliance with regulatory requirements and internal policies and Identify cases of non- compliance

• Support client in high volume compliance task

• Create and maintain applicable standard operating procedures

• Ability to work independently and prioritize tasks effectively and manage multiple projects simultaneously in a fastpaced environment

• Adhere to client’s standard operating procedures, process workflows, and Acuity’s compliance standards

• Stay abreast of regulatory developments and industry best practices to suggest improvements in the client’s process

• Extensive interaction with client’s compliance team in supporting their needs

• Develop good interpersonal relationships with the clients to get the best information and insights from them

• Communication with cross functional teams and senior management

• Preparation of various MIS, dashboards, and other reports

Key Competencies

Qualifications/Skills:

• Bachelor’s degree required: preferably in accounting, finance, law, business management or related field

• Sound Knowledge of compliance control room, hedge funds and chaperoning

• Strong understanding of regulatory landscape in US, UK, or APAC

• In-depth Understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers

• Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.

• Good understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc.

• Strong research, analytical thinking, problem solving, and comprehension skills with ability to analyse and document large amounts of data

• Self-starter with ability to work effectively with minimal supervision

• Strong communication skills – written and verbal

• Strong proficiency in Microsoft applications

Preferred skills:

• A certificate in the financial market or products will be an added advantage

• Ability to work collaboratively with cross-geographical teams

• Excellent time management and ability to multi-task

Experience:

• 2-4 years of total experience with strong experience in compliance predominantly in Control room and Chaperoning

• Understanding of financial markets and financial instruments, including awareness of securities trading or trade life cycle