- This role sits within the specialized Asia Compliance branch of a premier, privately held global asset manager.Key Core ResponsibilitiesTrade Monitoring & Overrides: Conduct daily real-time pre-trade and post-trade compliance reviews across diverse fund mandates and account structures to ensure adherence to strict investment guidelines and policies.Information Barrier Management: Administer the front-office Information Barrier and wall-crossing protocols,This role sits within the specialized Asia Compliance branch of a premier, privately held global asset manager.Key Core ResponsibilitiesTrade Monitoring & Overrides: Conduct daily real-time pre-trade and post-trade compliance reviews across diverse fund mandates and account structures to ensure adherence to strict investment guidelines and policies.Information Barrier Management: Administer the front-office Information Barrier and wall-crossing protocols,
- about the job:Perform independent trade surveillance and monitoring, alongside electronic communication (e-com) surveillance systems.Conduct independent second-level control reviews on selected business activities and public-side trading processes to ensure total alignment with legal, regulatory, and internal policy frameworks.Manage, evaluate, and handle regulatory requests, investigations, and inquiries efficiently.Provide accurate, timely regulatory comabout the job:Perform independent trade surveillance and monitoring, alongside electronic communication (e-com) surveillance systems.Conduct independent second-level control reviews on selected business activities and public-side trading processes to ensure total alignment with legal, regulatory, and internal policy frameworks.Manage, evaluate, and handle regulatory requests, investigations, and inquiries efficiently.Provide accurate, timely regulatory com
