CAREER CORNER
The Rohatyn Group - Compliance Officer, Asia
About The Rohatyn Group:
The Rohatyn Group is a leading asset management firm focused exclusively on investing in the global emerging markets. Founded in 2002 and comprised of senior professionals with extensive experience in the emerging and global markets, the firm’s asset management services are tailored to the emerging markets and are supported by specialized investment, risk management, research, marketing, and information technology capabilities.
Position Details:
Title: Compliance Officer, Asia
Location: Singapore
The Compliance Officer, Asia will be responsible for executing the day-to-day compliance functions for all of TRG’s Asia offices, reporting functionally to the Chief Compliance Officer in New York, and locally, to the head of our Singapore office.
Primary Responsibilities:
o Provide compliance support and oversight of TRG’s investment advisory business in Asia including hedge funds, private equity, real estate and separately managed accounts
o Prepare annual registrations and periodic regulatory filings with the Monetary Authority of Singapore & Hong Kong Securities and Futures Commission (and other regulators as applicable)
o Assist in portfolio guideline monitoring through the use of Bloomberg AIM and other tools
o Assist in the development of compliance policies and procedures for TRG’s Asian operations and integrating them with global practices
o Liaise with TRG’s legal counsel & subsidiaries in Asia
o Conduct annual compliance review and training for TRG’s staff in Asia
o Assist in maintaining the firm’s Restricted List
o Assist in TRG’s AML/KYC and anti-corruption/bribery monitoring programme
o Code of Ethics Monitoring:
o Employee trading preclearance & surveillance
o Gifts and entertainment surveillance
o Monitor employee electronic communications
o Coordinate completion of monthly surveys received from Asian regulators and/or central banks (e.g. MAS, etc)
Requirements:
o Minimum of 3 years financial services experience – preferably alternative investment or asset management
o Prior experience in a control function such as compliance or internal audit
o Undergraduate degree with strong academic credentials
o Excellent communication & analytical skills
o Strong detail orientation
o Track record of displaying sound judgment and high integrity
* Please send your CV to .(JavaScript must be enabled to view this email address)
About The Rohatyn Group:
The Rohatyn Group is a leading asset management firm focused exclusively on investing in the global emerging markets. Founded in 2002 and comprised of senior professionals with extensive experience in the emerging and global markets, the firm’s asset management services are tailored to the emerging markets and are supported by specialized investment, risk management, research, marketing, and information technology capabilities.
Position Details:
Title: Compliance Officer, Asia
Location: Singapore
The Compliance Officer, Asia will be responsible for executing the day-to-day compliance functions for all of TRG’s Asia offices, reporting functionally to the Chief Compliance Officer in New York, and locally, to the head of our Singapore office.
Primary Responsibilities:
o Provide compliance support and oversight of TRG’s investment advisory business in Asia including hedge funds, private equity, real estate and separately managed accounts
o Prepare annual registrations and periodic regulatory filings with the Monetary Authority of Singapore & Hong Kong Securities and Futures Commission (and other regulators as applicable)
o Assist in portfolio guideline monitoring through the use of Bloomberg AIM and other tools
o Assist in the development of compliance policies and procedures for TRG’s Asian operations and integrating them with global practices
o Liaise with TRG’s legal counsel & subsidiaries in Asia
o Conduct annual compliance review and training for TRG’s staff in Asia
o Assist in maintaining the firm’s Restricted List
o Assist in TRG’s AML/KYC and anti-corruption/bribery monitoring programme
o Code of Ethics Monitoring:
o Employee trading preclearance & surveillance
o Gifts and entertainment surveillance
o Monitor employee electronic communications
o Coordinate completion of monthly surveys received from Asian regulators and/or central banks (e.g. MAS, etc)
Requirements:
o Minimum of 3 years financial services experience – preferably alternative investment or asset management
o Prior experience in a control function such as compliance or internal audit
o Undergraduate degree with strong academic credentials
o Excellent communication & analytical skills
o Strong detail orientation
o Track record of displaying sound judgment and high integrity
* Please send your CV to .(JavaScript must be enabled to view this email address)
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The LSE Careers Service helps you through the careers maze in providing a comprehensive careers guidance service and employment services for students and alumni seeking information on graduate employment and further study.
The LSE Careers Service helps you through the careers maze in providing a comprehensive careers guidance service and employment services for students and alumni seeking information on graduate employment and further study.