Associate Director / Senior Officer, Compliance

Role Overview

Balyasny Asset Management is seeking an Associate Director/Senior Officer, Compliance for the Asia region. The role reports to the firm’s Head of Asia Compliance and is responsible for the development, implementation, management, and oversight of the firm’s Compliance programme in relation to its business in the Asia region. Responsibilities include providing compliance counsel to investment staff on research and trading-related matters and regulations adopted by the SFC, JFSA, KFB, MAS and other relevant regulators; maintaining a strong compliance presence within and providing compliance oversight for the regional offices; assisting with the review of marketing materials; completing and submitting regulatory filings; and conducting compliance training for local HK and Singapore staff.

In the role of Associate Director/Senior Officer, Compliance, the employee will be responsible for, among others, the following:

• Provide direct support to the Head of Asia Compliance to manage the compliance priorities for the Asia region;
• Maintain a strong compliance presence within, and provide compliance oversight for, all regional offices in Asia;
• Provide research and trading-related compliance counsel to the investment staff in relation to day-to-day business matters;
• Assist with enforcing compliance policies as they apply to the firm’s Asia business on a day-to-day basis;
• Monitor regulatory developments and update compliance policies and procedures as required;
• Educate investment and non-investment staff with regard to trading-related compliance requirements on an ongoing basis;
• Assist with surveillance, testing and other key parts of the compliance programme, including forensic testing, to satisfy ongoing compliance obligations;
• Keep track of compliance best practices and help implement enhancements to the firm’s compliance programme;
• Complete and submit regulatory filings with local regulators in a timely and high-quality manner;
• Escalate matters to the global Compliance leaders and the regional Business leaders as necessary.

Qualifications& Requirements

To perform the role effectively, the candidate must have:

• Minimum 8 years of relevant compliance experience working for fund managers and/or regulatory bodies in Asia;
• Within this, minimum 3 years of investment/trading compliance experience, including knowledge of Asia listed equities;
• Experience in investment/trading compliance with China, Korea, and Taiwan markets is preferred;
• Broad set of responsibilities spanning investment compliance, business compliance, regulatory compliance and employee compliance;
• Minimum 3 years of experience in regulations related to insider trading, market manipulation and other forms of market misconduct;
• Experience communicating with regulators on behalf of the firm;
• Experience working on a variety of compliance software spanning employee requests, surveillance, archiving, analytics, etc.;
• Experience working closely with regional and global management teams;
• Bachelor’s degree is required. Master’s degree, CFA, or other industry certifications are a plus.