Compliance Analyst

**Marshall Wace**

Marshall Wace (MW) is one of the world’s leading Hedge Fund Managers, with offices in London, New York, Hong Kong, Shanghai, and Singapore. Focussed on delivering investment management of the highest quality for our clients, we use quantitative, systematic, and fundamental strategies, predominantly in long/short equity, to manage over $60 billion assets under management. We enjoy a strong reputation in the industry for our success, influence, and innovation, built by a dedicated team of people, working in a dynamic and creative environment.

At the heart of the firm’s success is our entrepreneurial culture, which welcomes innovation, curiosity, and diversity in thought. Driven by a dedication to building sustainable competitive advantage within the investment management industry, MW invests in our people, providing them with the support, technology, and work environment they need to succeed.

**Compliance Team**

MW values its reputation, integrity, and its principled approach to business. The Compliance team at MW works to ensure the firm operates to the highest regulatory standards and best practices wherever it operates. A comprehensive Compliance programme takes in all aspects of the firm’s business and operations.

The Compliance team is responsible for assessing and mitigating the regulatory risk to the business, through a coordinated framework of polices, controls, and assessments. The team provides assurance to the Firm’s management, advising on initiatives and changes in the regulatory landscape.

The team seeks embed a strong company culture and individual accountability through relevant guidance and training. The team uses proprietary and third-party technology to review and monitor with extensive scale and forensic detail.

**Requirements**:

- Strong academic background.
- At least two years relevant experience working in a compliance function at an asset management business or a relevant team in a sell-side firm. Knowledge of equity markets, familiarity with quantitative and algorithmic trading systems and the identification/prevention of market abuse.
- Wider product knowledge of fixed income, derivatives, and crypto and digital assets is appreciated, but not required.
- Experience in the Singapore regulatory regime relating to asset management is essential.
- Proficient with technology. Skills, such as data analysis and advanced Excel are preferred. Interest in programming languages such as SQL is encouraged.
- A sound analytical approach, being diligent, thorough, curious, forensic, and logical.
- Excellent written and verbal communication skills; fluency in Mandarin is required. The role requires collaborative and constructive interaction with all areas of the firm, including senior management, traders, portfolio and risk managers, and technologists. Therefore, clear presentation, succinct writing and articulate conversation are well regarded.
- Having good judgement, discretion, and the ability to work independently.

**Responsibilities**

The Compliance Analyst will have a Singapore and Asia focus within a global team, meeting local regulatory requirements whilst contributing to the development of the global team and driving standards across the firm.

As well as the primary responsibilities to set out below, there will be opportunities for training and development, exploration, and project work. As the need to stay abreast of regulatory change and technology progresses, the role and responsibilities may vary to meet the changing demands of the firm.

Surveillance
- Review trading and portfolio management activity, including order entry, execution, news flows and market activity.
- Monitor information streams including research provision, expert network usage, and alternative data procurement.
- Inspect communications in, out and around the firm.
- Investigate and escalate any concerns that arise.

Monitoring
- Safeguard the suitability of the controls within the algorithmic and quantitative processes that support the firm’s investment process.
- Assess compliance and regulatory risk in trading processes.
- Conduct due diligence of service providers and counterparties used in the investment process.

Standards
- Design, develop and adapt systems and controls to improve their accuracy and efficiency.
- Shape compliance policies and procedures used in the trading and investment processes.
- Provide training, guidance, and judgement where appropriate.
- Interpret and analyse the impact of change to relevant laws, regulations, and market infrastructure.

Reporting
- Contribute to reporting and management information for senior management.
- Conduct regulatory reporting.
- Respond to enquiries from regulatory bodies.