Legal & Compliance
4 weeks ago
About Four Elements Capital
Established in 2008 and based in Singapore, Four Elements Capital is a financial data science asset management company with a primary focus on the creation and replication of tailor-made indices using its managed account platform. In addition, Four Elements Capital oversees a Commodity Trading Advisor (CTA) Fund.
About the job
The primary objective of this role is to ensure the effective management of relationships with all regulatory entities, brokers/clearers, and internal compliance, while diligently adhering to market risk limits.
Responsibilities
- Regulatory Compliance: Uphold the company's risk and compliance framework in alignment with regulatory bodies. Prepare regulatory filings, stay abreast of regulatory changes, and handle inquiries and audits efficiently.
- Broker Relations and limits: Develop and maintain strong relationships with brokers, negotiate service terms, and monitor their performance to ensure optimal service quality.
- Compliance and Risk Management: Establish and enforce compliance rules, conduct regular audits, and provide staff training to ensure all team members adhere to these standards.
- Risk Monitoring: Define and enforce risk limits, continuously monitor risk levels, and implement proactive measures to mitigate risks.
- Stakeholder Communication: Maintain regular communication with stakeholders, prepare comprehensive reports on compliance and risk management, and strive for continual improvement in processes for enhanced efficiency and effectiveness.
Requirements
- Education: Bachelor's degree in Law, Business, or Economics. A Master's degree is considered an advantage.
- Experience: Experience within the financial services industry is a plus.
- Skills: Strong organizational and communication skills, detailed knowledge of regulatory requirements, technology to boost produdctivity and the ability to handle complex negotiations and partnerships, coding is a plus.
Application Instruction & Selection process
Interested candidates should send a copy of their resume to [HIDDEN TEXT] with 'Application for Legal & Compliance' in the subject line. The selection process will involve an initial screening of applications, followed by interviews for shortlisted candidates.
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