Sepenuh Masa AVP, Compliance - Control Room (1 yr contract-Global Funds) Jobs, in Gravitas Recruitment Group (Global) Ltd - Maukerja

Our client is a premier global asset management firm dedicated to delivering exceptional investment performance and strategic solutions. With a reputation built on integrity, innovation, and rigorous risk management, they are seeking a high-caliber Assistant Vice President (AVP), Compliance to join their dynamic legal and compliance team. This dual-focused role offers unique exposure, split between core Regulatory Compliance and Control Room management.

Key Responsibilities

Control Room Operations

• Information Barriers: Maintain and monitor the firm’s Information Barriers, Restricted Lists, and Watch Lists to prevent the misuse of Material Non-Public Information (MNPI).
• Conflict Management: Identify, analyze, and clear potential conflicts of interest arising from the firm’s investment and trading activities.
• Wall Crossings: Manage and document the "wall-crossing" process, ensuring appropriate restrictions are placed on relevant personnel.
• Research & Trading Surveillance: Review research publications and trading activity against restricted lists to ensure absolute compliance with insider trading laws.

Regulatory Compliance & Advisory

• Regulatory Monitoring: Track and interpret evolving regulatory changes (e.g., MAS, SEC, FCA guidelines) and assess their impact on the asset management business.
• Policy Development: Draft, update, and implement robust compliance policies, procedures, and manuals.
• Business Advisory: Provide timely, practical compliance advice to investment teams, trading desks, and product development units.
• Regulatory Reporting: Assist with timely and accurate regulatory filings, disclosures, and responses to regulatory inquiries or audits.
• Training & Culture: Deliver compliance training programs to foster a strong culture of compliance across the organization.

Your Profile

• Experience: 5–8 years of compliance experience within the financial services sector.
• Education: Bachelor’s degree in Law, Finance, Business, or a related discipline.
• Technical Knowledge: Deep understanding of asset management regulations, market abuse regimes, conflict management, and insider trading laws.
• Analytical Skills: Sharp eye for detail with the ability to analyze complex transactions and identify potential regulatory risks quickly.
• Communication: Exceptional interpersonal and communication skills, with the confidence to influence and advise senior stakeholders and portfolio managers.