Chief Compliance Office/ Head of Compliance

2 weeks ago

Singapore SOUTHERN RIDGES CAPITAL PTE. LTD. Full time

About Us
Southern Ridges Capital is a global macro hedge fund managing fixed income, currency assets and derivatives. Launched in 2019 and head-quartered in Singapore, the firm manages USD 2.5 Billion and a regional office New York.

The firm is regulated and licensed in Singapore by the Monetary Authority of Singapore and by Securities and Exchange Commission in United States.

Southern Ridges Capital is a growing firm with a strong culture of collaboration and partnership.

Job Requirements:

  • Serve as the designated compliance officer for the firm and the funds covering Singapore, US and Cayman regulations
  • Ensure adherence to both group compliance procedures and compliance regulations (whichever sets a higher standard) for employees interfacing with clients in Singapore.
  • Own, oversee and enforce the Compliance Manual and the Code of Ethics across the NY and Singapore offices.
  • Ensure timely compliance with regulations and reporting requirements
  • Coordinate with various functions of the firm like Operations, Product Control, HR to perform vendor due diligence both for initial and ongoing reviews.
  • Serve as the primary contact person with local regulators.
  • Compile and distribute the monthly compliance report to the Board of Directors.
  • Conduct periodic reviews of existing client portfolios and report their status to the Board of Directors.
  • Assist in preparing and reviewing annual mandatory returns/reports for submission to local authorities.
  • Conduct gap analyses between regulatory requirements and current processes as needed.
  • Take the lead on adhoc compliance projects as necessary.
  • Develop, review, update, implement, and conduct training programs on onboarding of Portfolio Managers and antimoney laundering and specific compliance measures.
  • Provide daily support and guidance on compliance matters, particularly regarding KYC documents, to the administration team.
  • Review client onboarding documents to ensure compliance with ACRA regulations and internal policies.
  • Follow up on any outstanding or missing KYC/compliance documents and information.
  • Conduct periodic compliance reviews, monitoring for changes, and updating client files accordingly.
  • Perform due diligence searches and client screening, resolving any matches found. Ensure proper filing and storage of all compliance documentation, whether physical or digital.

Qualification and Requirements:

  • Have at least 812 years experience in leading Compliance function at a large bank or a hedge fund
  • Strong understanding of compliance framework for hedge funds in Singapore, Cayman and US
  • Collaborate effectively with other team members to uphold a high standard of compliance across all business functions.
  • Possess strong communication, interpersonal, and influencing skills to motivate others.
  • Demonstrate selfmotivation and the ability to multitask in a fastpaced environment.
  • Be a fast learner capable of independent action when necessary.
  • Work well within a team environment.
  • Familiarity with Sharepoint and database document management systems is advantageous.
  • Exhibit awareness of commercial sensitivity and the need for confidentiality.
  • Have prior experience in people management and supervision.
  • Previous experience communicating with regulators is preferred.

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