Head of FIC Advisory Compliance, Asia

Job Function Summary

This role will provide senior Compliance coverage to the Fixed Income & Commodities Business and Infrastructure groups in Asia, operating in close partnership with the existing Compliance teams globally as well as the Global FIC Business Management team, and the various FIC Portfolio Managers.

Principal Responsibilities

• Provide on desk Compliance coverage for all Asia based Portfolio Manager Teams.
• Keep local Senior Management constantly appraised of the overall compliance landscape and exposures within the commodities business
• Provide Compliance coverage for relevant regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
• Lead FIC Compliance coverage in the region for the review of new markets and products.
• Track relevant regulatory developments
• Participate in working groups and projects as needed
• Provide support reviewing disclosures and personal trading pre-approval requests
• Provide support with regulatory reporting as required
• Periodic regional travel required

Qualifications/Skills Required

• Law degree and legal background is preferred but not essential
• Strong knowledge of Fixed Income and/or Commodities
• Strong knowledge and experience of Compliance monitoring and surveillance
• Strong regulatory background in Asian markets
• Comprehensive understanding of and experience working with the rules and regulations and compliance processes and systems
• Quick learner, Detail oriented; Demonstrable thoroughness and strong ownership of work.
• Good team player with a strong willingness to participate and help others.
• Able to prioritize in a fast moving, high pressure, constantly changing environment; High sense of urgency
• Strong communication skills.