■ Investment/Trading compliance: daily checking and monitoring of trading data for cross trade, short term trading, market abuse and best execution as well as guaranteed price transactions.
★Answering to queries from fund managers and traders, providing/rejecting approval for specific transactions when needed, keeping abreast of regulatory environment and best practices in this field.
■ Review of the firm’s documents (including legal documents) to be delivered to clients, distributors and authorities under the FIEL, ITM law. and JITA and JIAA rules.
★Specific focus on providing recommendations and advices to the Retail business for new fund launches.
■ Preparing and filing information/documents to the regulatory agencies (FSA, KLFB, JITA and JIAA)
■Ensuring the firm’s activities adhere to the requirements by the regulatory agencies, as well as with the firm’s internal compliance standards (including personal trading and gift and entertainment)
■Reporting of the comp