Associate Director, Compliance/ Senior Compliance Officer

Associate Director, Compliance/ Senior Compliance Officer

Hong KongSingapore

Posted Today

ROLE OVERVIEW:

Balyasny Asset Management is seeking an experienced Associate Director/Senior Officer, Compliance for the Asia region. As the Associate Director/Senior Officer, Compliance, the employee will report to the firm’s Head of Asia Compliance and would be responsible for development, implementation, management, and oversight of the firm’s Compliance program in relation to its’ business in the Asia region.  The responsibilities will include providing compliance counsel to investment staff on research and trading related matters and regulations adopted by the SFC, JFSA, KFB, MAS and others, maintain a strong compliance presence within, and provide compliance oversight for, the regional offices, assist with the review of marketing materials, complete and submit regulatory filings and conduct compliance training for local HK and Singapore staffs. 

In the role of Associate Director/Senior Officer, Compliance, the employee will be responsible for, among others, the following:

• Provide direct support to the Head of Asia Compliance to manage the compliance priorities for the Asia region;
• Maintain a strong compliance presence within, and provide compliance oversight for all regional offices in Asia;
• Provide research and trading related compliance counsel to the investment staff in relation to day to day business matters;
• Assist with enforcing compliance policies as it applies to the firm’s Asia business on a day to day basis;
• Monitor regulatory developments and stay ahead of them to update compliance policies and procedures as required
• Educate investment and non-investment staff with regard to trading related compliance requirements on an ongoing basis;
• Assist with surveillance, testing and other key parts of the compliance program and forensic testing to satisfy ongoing compliance obligations;
• Keep track of industry leading compliance practices and adopt and implement such practices to continually enhance the firm’s compliance program;
• Complete and submit regulatory filings with local regulators in a timely and high quality manner;
• Escalate matters to the global Compliance leaders and the regional Business leaders as necessary

QUALIFICATIONS & REQUIREMENTS:

In order to effectively represent the Company and communicate with clients, the employee must be someone who has:

• Minimum 8 years of relevant compliance experience working for Fund Managers and/or Regulatory Bodies in Asia.
• Within this, minimum 3 years of investment/trading compliance experience especially with the knowledge in Equities.
• Relevant compliance experience supporting trading activity in China, Korea, or India is a plus.
• Broad set of responsibilities spanning investment compliance, business compliance, regulatory compliance and employee compliance.
• Strong familiarity with regulations related to insider trading, market manipulation and other forms of market misconduct.
• Experience communicating with regulators on behalf of the firm.
• Experience working on a variety of compliance software spanning employee requests, surveillance, archiving, analytics etc.
• Experience working closely with regional and global management teams.
• Experience managing a regional team of compliance officers. 
• Bachelors Degree is a must. Masters Degree or CFA or other industry certifications are a plus.