Legal & Compliance Associate

Singapore. Posted 5 months ago

The role

The Legal & Compliance Associate will assist with internal audits, regulatory applications, and AML reviews. The role involves maintaining compliance policies and researching regulations to provide firm-wide updates.

What you will do

Assist in designing/performing periodic reviews and/or internal audits.
Complete new exchange, regulatory, clearing, and counterparty relationship applications and documentation.
Perform AML reviews on counterparties and prepare reports on any findings.
Maintain firm intranet with updates to internal Compliance and HR policies and procedures.
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.
Research regulations and enforcement actions and provide monthly firm-wide updates.
Review surveillance alerts and escalate issues as necessary.

Required qualifications

B.A./B.S. from an accredited school
Law degree
Strong oral and written communication skills
Organizational skills
Attention to detail

Nice to have

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 tradin
Law degree preferably qualifying the candidate to practice law in Singapore
Understanding of investment products and operations
Project management, technical, and prioritization skills
Proficiency in MS Office (including SharePoint)
Fluency in Mandarin (written and spoken)

About the company

Headlands Technologies LLC is a global quantitative trading company that develops and implements quantitative trading strategies in exchange-traded financial products. The firm employs over 150 professionals and trades in a variety of asset classes, markets, and geographies.