Compliance Associate - Indus Capital Partners : Job Details

Indus Capital Partners, LLC is seeking a Compliance Associate to support all aspects of the firm's compliance program. The Compliance Associate will report directly to the Chief Compliance Officer. The ideal candidate is detail-oriented, motivated, a team player, and eager to learn more about regulatory compliance. It is important for this individual to have high ethical standards and a positive attitude, with the ability to perform in a fast-paced environment. This is primarily an in-office role.

Key Responsibilities:

• Assist the CCO with day-to-day compliance functions of the firm
• Assist with the Firm's compliance software – including ComplianceAlpha, Global Relay, ComplyAdvantage, Liquidity Book
• Perform compliance testing and monitoring in all relevant areas, including Code of Ethics requirements, trade allocation, trade surveillance, electronic communications, expense allocation, political contributions, gifts and business entertainment, research practices and social media
• Maintain and update compliance calendar
• Assist with the preparation of regulatory reporting and filings
• Help manage corporate governance matters, including drafting firm committee agendas and participating in firm committees and drafting minutes
• Assist with conducting various compliance trainings for the firm, including trainings focused on regulatory requirements in the US, Hong Kong, and Japan
• Participate in compliance regulatory audits and the annual review process
• Oversee expert network call tracking and coordination
• Review marketing materials
• Assist with ad hoc projects

Requirements:

• Bachelor's degree with strong academic performance, JD preferred but not required
• 0-3 years of compliance experience, ideally including experience at an SEC-registered investment adviser (preferably hedge fund), compliance consulting firm or law firm
• General understanding of relevant SEC rules and regulations, familiarity with Hong Kong and/or Japan regulatory regimes is a bonus
• Exceptional attention to detail and strong organizational skills
• Strong communication and analytical skills
• Ability to meet deadlines, work independently, and be proactive in taking on new responsibilities
• Familiarity with the firm's compliance software (Compliance Alpha, Global Relay, ComplyAdvantage, Liquidity Book) is a plus
• Japanese or Mandarin language skills a plus

The salary range for this role is $75k-$145k. Compensation commensurate with experience.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.