Chief Regulatory Specialist

We are seeking an experienced Compliance Officer to join our team in Singapore. This appointment is a key role within our Global Compliance Team and will report directly to our APAC CEO and Global Chief Compliance Officer.

The primary responsibility of this role is to advise on regulatory and compliance matters covering our APAC trading businesses. You will be responsible for administering core compliance functions in the Singapore office, including compliance and employee conduct controls, regulatory advisory, AML and sanctions, with support from the global Compliance team.

This includes multi-jurisdictional APAC financial services regulation focus, with particular emphasis on equities, ETFs, Futures, Fixed Income, and Options, and including APAC financial services regulation as well as evolving global initiatives including power trading and digital assets.

Experience with some of the following topics would be useful:

• Electronic trading
• Transaction reporting and transparency requirements
• Order marking requirements (ban on naked shorts, reporting); Short Sale Exemptions
• Engagement with exchanges, banks, brokers
• Concentration reporting
• Working with large data sets and translating regulatory requirements into clear instructions for Software Developers and Operations Analysts.

In addition to providing advice and recommendations to senior management in terms of financial services regulatory requirements, you will be involved in developing and drafting policies, internal briefings and Management Information (MI). This will often involve working with and advising our businesses from a regulatory/compliance perspective and participating in the documentation of our controls framework.

You will also work closely with Business Development onboarding new venues and brokers in the APAC region and execute relevant Compliance checks and analysis prior to approval by Global Chief Compliance Officer. The role may also involve participating in our engagement with internal and external counsel, regulators or governments in respect of regulatory proposals or rulemakings.

You will be an active contributing member of the Global Compliance Team, including working with team members to administer the Compliance Monitoring and Employee Compliance Programs, supporting the CCO in administering: regulatory and exchange notifications and communications, documenting Compliance departmental processes, participating in analysis and investigations of emerging issues that may arise from our day to day operations, mentoring junior members of the global team in the development of their skills related to regulation, writing, communications, etc. Strong communication between other key control teams within our organisation including Legal, Risk, HR, and Operations is essential.

To be successful in this role, you will have:

• A strong background in financial services regulation, with at least 8-12 years of experience.
• Deep knowledge of financial services regulation, able to advise senior leadership on a range of regulatory topics.

This is a fantastic opportunity to join a leading algorithmic trading firm, working with world-class researchers and operating at the cutting edge of financial services. We offer a dynamic and non-hierarchical work environment, where everyone is valued and respected. Our culture is focused on teamwork and collaboration, with opportunities for professional growth and development.