Legal & Compliance Associate
Headlands TechnologiesAbout the Role
Headlands is looking to add a Legal & Compliance Associate to our Singapore office. This role offers significant exposure to the global regulatory environment, with in-house and external training to support the candidate's growth in the financial industry.
- Assist in designing/performing periodic reviews and/or internal audits.
- Complete new exchange, regulatory, clearing, and counterparty relationship applications and documentation as part of their ongoing reviews.
- Perform AML reviews on counterparties and prepare reports on any findings.
- Maintain firm intranet with updates to internal Compliance and HR policies and procedures, information notices, and company information.
- Assist with the completion of KYC requests from counterparties and brokers.
- Complete initial reviews of contracts, broker agreements, and vendor agreements.
- Liaise directly with brokers to address requests from exchanges and regulators.
- Maintain third-party compliance software and certifications via communication of updated policies and procedures to other departments.
- Research regulations and enforcement actions by reviewing regulatory circulars and other sources of information and provide monthly firm-wide updates.
- Review surveillance alerts and escalate issues as necessary, and monitor technology changes and provide guidance as necessary.
- Complete and maintain company registration filings and documentation.
- Assist in compliance with Singapore local HR and employment rules.
Requirements
- A strong educational background, including a B.A./B.S. from an accredited school is required
- Law degree is required, preferably qualifying the candidate to practice law in Singapore
- 3-5 years legal and/or compliance/regulatory experience with a national securities exchange or self-regulatory organization, registered broker-dealer, registered investment adviser, proprietary trading firm, or other financial institution is preferred
- Strong oral and written communication skills, organizational skills, and attention to detail are essential
- An understanding of investment products and operations
- Project management, technical, and prioritization skills
- Proficiency in MS Office (including SharePoint) is preferred
- Fluency in Mandarin (written and spoken) is strongly preferred, given regular interaction with Greater China counterparties, exchanges, and regulators
What You'll Get
- In-house and external training to support the candidate's growth in the financial industry