Compliance Associate

  • Job category
    Banking and Finance
  • Job level
  • Contract type
    Full Time
  • Location
  • Salary
    S$6000 - S$11800

Job Description

About Us

Symmetry Investments is a global investment company with offices in Hong Kong, Singapore and London. We have been in business since 2014 after successfully spinning off from a major New York-based hedge fund.

At Symmetry Investments, we seek to engage in intelligent risk-taking to create value for our clients, partners and employees. We derive our edge from our capacity to generate Win-Wins – in the broadest sense. Win-Win is our fundamental ethical and strategic principle. By generating Win-Wins, we can create unique solutions that reconcile perspectives that are usually seen as incompatible or opposites, and encompass the best that each side has to offer:

We integrate fixed-income arbitrage with global macro strategies in a novel way.

We invent and develop technology that focuses on the potential of human-machine integration.

We build systems where machines do what they do best, supporting people to do what people do best.

We are creating a collaborative meritocracy: a culture where individual contribution serves both personal and collective goals - and is rewarded accordingly.

We value both ownership thinking AND cooperative team spirit, self-realization AND community.

Symmetry is looking for an exceptional candidates to join our growing Compliance team as a Compliance Associate. The ideal candidate will have 3-5 years of experience.

Among the traits we value are: curiosity, motivation, resourcefulness, attention to detail, common sense, commercial orientation, collaboration, adaptability, humility and courage. Programming capability is not a pre-requisite but is a plus as we value both technical ability and mechanical sympathy. We also value capability and potential over mere experience and credentials, although they can be invaluable when facing certain challenges. Candidates should be honest with a sense of humour, be open to new ideas and have the humility to accept and respond to feedback.

Read more about us here:

Core Responsibilities (first 3-6 months)

  • Allocation reporting – investigating allocations policy exceptions and liaising with business/trading desk to resolve.
  • US treasury auctions – logging bids in real time, calculating vs limits, submitting bids.
  • New Systems implementation – assist with onboarding an integration of new systems such as automated trade surveillance, equity disclosures etc.
  • PA Dealing - set-up of new staff on internal systems, managing approvals, queries and reporting via Star compliance.
  • Trade blotter – exception management, liaising with front office, incorporating rule updates.
  • New product/advisory approval – instrument approvals from compliance perspective and interacting with trading desk as required on new product advice.
  • Vendor onboarding KYC/AML – Vendor screening via world-check, compliance contact for KYC onboarding. Investigating ways to streamline and make process more efficient.
  • Trade Surveillance – Review and investigate alerts, produce Management Information, help manage relationship with any external vendors.
  • Exchange position limit reporting – Review daily alerts and escalate and resolve exceptions.
  • Comms Surveillance – Review alerts, redbox communications review.
  • Compliance Management information – Assist with production of management information and document in Symmetry internal systems and report at management bodies as required.
  • Compliance training – arranging roll-out on Skillscast, customizing modules, managing training requirements for SMCR, NFA, SFC
  • Reg reporting –UK FCA/Gabriel connect filings, Managing UK ICAAP process, Preparing NFA Self-assessment and related filings, compliance support for SMCR process. Completing MAS and SFC surveys in Asia
  • Reg implementation – Digest new regulation and project manage new implementation projects.
  • Day-to-day Compliance Advisory Support – e.g. trade error and trade incident investigation and write-up, picking up queries to compliance mail box.
  • Equities trading advisory support
  • Position monitoring investigation and monitoring via platforms (Neovest) and trade repository (Orchestrade)
  • Onboarding of systems e.g. Fund Apps
  • Assist with build out of equity related policies and controls (particularly in Asia)
  • Advise front office staff on local rule books
  • Managing integration of new staff in systems
  • Policies and Procedures – Managing refresh and documentation of existing and new policies and procedures

Other Responsibilities

  • Support and learn from the global compliance team based in London, Hong Kong and Jersey
  • Take ownership of tasks and drive to completion with limited supervision.
  • Take time to understand compliance processes & workflows to identify gaps and improvements in order to create enterprise value and drive scalability.
  • Learn new skills and technologies to deliver the most effective and elegant solutions
  • Become proficient in the tools we use internally, for example Gitlab or document management tools.
  • Acquire a good understanding of the various systems and applications we use internally, and the inter-relations between them

Salary Range: SGD 6k-11.8k monthly base pay

Closing on 17 Oct 2021

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