Legal & Compliance Associate

Legal & Compliance Associate

Location: Singapore

 

About Headlands Tech

Headlands Technologies LLC is a leading global quantitative trading company based in Chicago, New York City, Singapore & Amsterdam. Founded by noted industry veterans, Headlands Technologies LLC develops and implements quantitative trading strategies in exchange-traded financial products, trading exclusively for its own account. The company trades in a variety of asset classes, markets, and geographies. The firm currently employs over 150 professionals and is rapidly expanding. The firm works hard every day to apply fresh insight and technological expertise to the financial markets, fostering a culture of constant learning and collaboration that enables our employees to aim high and reach their full potential.

 

Summary

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.

 

Responsibilities include:

• 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.

 

 

Qualifications:

• 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.
• The ideal candidate will also have an understanding of investment products and operations, plus 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.

 

 

We are proud to be an equal opportunity workplace and to provide employees with a work environment free of discrimination and harassment.  All employment decisions at Headlands Tech are based on business needs, job requirements and individual qualifications, without regard to race, color, religion or belief, national origin, sex, sexual orientation, gender identity/expression, age, status as a protected veteran, status as an individual with a disability, or any other applicable legally protected characteristics.  Headlands Tech will not tolerate discrimination or harassment based on any of these characteristics.

 

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