Familiarization with Regulatory Requirements and Guidelines
6
Approval: HR Director for Regulatory Training Completion
7
Training on Compliance Monitoring Tools and Software
8
Overview of Reporting Infrastructure and Guidelines
9
Sensitization on Potential Compliance Risks
10
Approval: Compliance Manager for Risk Training
11
Training on Client Communication Etiquettes and Guidelines
12
Understanding of Compliance Audit Procedures
13
Briefing on Insider Trading Rules and Regulations
14
Approval: Legal Counsel for Insider Trading Rules Understanding
15
Understanding of AML (Anti Money Laundering) and KYC (Know Your Client) Processes
16
Approval: AML & KYC Compliance Officer
17
Guidance on Handling Confidential and Proprietary Information
18
Mock Compliance Auditing Exercise
19
Approval: Compliance Director for Mock Audit Completion
20
Formal Introduction to the Compliance Team and Assignment of Mentor
Introduction to the Firm's Culture and Ethos
This task is all about immersing yourself in the firm's unique culture and ethos. It plays a vital role in helping new compliance analysts assimilate into the company's work environment and align with its values. By participating in this task, you will gain a better understanding of the firm's mission and vision, which will guide your decision-making process throughout your work. Are you ready to dive in and embrace the culture and ethos of the firm?
1
Integrity
2
Excellence
3
Teamwork
4
Client-focus
5
Innovation
1
Diversity and Inclusion
2
Sustainability
3
Employee Wellness
4
Community Outreach
5
Professional Development
Complete Paperwork and Other HR Formalities
Completing paperwork and other HR formalities is an essential task that ensures compliance analysts are properly onboarded and officially become part of the team. By carrying out this task, you will provide all the necessary information required by HR, allowing for a smooth transition into your new role. Have you checked out the HR formalities checklist? Let's get started!
Understanding of the Firm's Compliance Policies
Having a solid understanding of the firm's compliance policies is crucial for your effectiveness as a compliance analyst. This task aims to equip you with the necessary knowledge and guidelines, empowering you to adhere to the company's compliance policies. Are you ready to explore the firm's compliance policies and become well-versed in them?
1
Data privacy
2
Conflicts of interest
3
Insider trading
4
Market abuse
5
Risk management
Detailed Orientation on Hedge Fund Operations
This task provides you with a comprehensive orientation on hedge fund operations. It is designed to give you a complete overview of how hedge funds function and the various processes involved. By completing this task, you will be able to navigate through the intricate world of hedge fund operations with confidence. Ready to dive into the exciting world of hedge funds?
1
Long/Short Equity
2
Global Macro
3
Event-driven
4
Managed futures
5
Fixed Income Arbitrage
1
Portfolio management
2
Risk management
3
Trade execution
4
Fund accounting
5
Investor relations
Familiarization with Regulatory Requirements and Guidelines
This task aims to make you well-versed in regulatory requirements and guidelines in the hedge fund industry. By completing this task, you will gain an understanding of the legal framework that governs hedge funds, ensuring your work is in compliance with all applicable laws. Are you ready to become familiar with regulatory requirements and guidelines?
1
Securities and Exchange Commission (SEC)
2
Financial Conduct Authority (FCA)
3
Commodity Futures Trading Commission (CFTC)
4
Autorité des Marchés Financiers (AMF)
5
Hong Kong Securities and Futures Commission (SFC)
1
Registration and licensing
2
Compliance reporting
3
Investor disclosures
4
Recordkeeping
5
Risk management
Approval: HR Director for Regulatory Training Completion
Will be submitted for approval:
Understanding of the Firm's Compliance Policies
Will be submitted
Training on Compliance Monitoring Tools and Software
This task is dedicated to providing training on compliance monitoring tools and software used by the firm. By completing this training, you will acquire the skills and knowledge required to effectively monitor and enforce compliance policies using the tools and software at your disposal. Are you ready to enhance your technical skills and become proficient in compliance monitoring tools and software?
1
ComplySci
2
Radar
3
AssetLogic
4
MyComplianceOffice
5
NICE Actimize
Overview of Reporting Infrastructure and Guidelines
This task provides a high-level overview of the firm's reporting infrastructure and guidelines. By completing this task, you will gain insights into the reporting mechanisms and learn how to effectively document and communicate compliance-related information. Are you ready to explore the reporting infrastructure and guidelines?
1
Trade surveillance reports
2
AML transaction monitoring reports
3
Internal control reports
4
Investment advisor compliance reports
5
Client communication reports
1
Internal compliance team
2
Senior management
3
Regulators
4
Clients
5
Investors
Sensitization on Potential Compliance Risks
This task focuses on raising awareness of potential compliance risks associated with hedge fund operations. By completing this task, you will develop a critical eye for identifying compliance risks and gain insights into mitigating strategies. Are you ready to explore potential compliance risks and learn how to mitigate them effectively?
1
Insider trading
2
Conflicts of interest
3
Money laundering
4
Market manipulation
5
Data breaches
1
Implementing robust internal controls
2
Regularly updating compliance policies
3
Providing ongoing employee training
4
Conducting compliance audits
5
Establishing whistleblower mechanisms
Approval: Compliance Manager for Risk Training
Will be submitted for approval:
Sensitization on Potential Compliance Risks
Will be submitted
Training on Client Communication Etiquettes and Guidelines
This task focuses on training you in client communication etiquettes and guidelines. By completing this task, you will acquire the necessary skills to communicate effectively and professionally with clients, ensuring a positive experience and maintaining the firm's reputation. Are you ready to enhance your client communication skills and etiquette?
1
Email
2
Phone
3
In-person meetings
4
Video conference
5
Written correspondence
Understanding of Compliance Audit Procedures
This task aims to provide you with a comprehensive understanding of compliance audit procedures. By completing this task, you will become familiar with the audit process and learn how to ensure regulatory compliance by conducting internal audits. Are you ready to become proficient in compliance audit procedures?
1
Planning and risk assessment
2
Fieldwork and testing
3
Reporting and recommendations
4
Follow-up and remediation
5
Evaluation and continuous improvement
1
Interviews and questionnaires
2
Sampling and testing
3
Data analysis
4
Document review
5
Process observation
Briefing on Insider Trading Rules and Regulations
This task aims to provide you with a comprehensive understanding of insider trading rules and regulations. By completing this task, you will become well-versed in the legal framework surrounding insider trading, mitigating the risk of non-compliance. Are you ready to familiarize yourself with insider trading rules and regulations?
1
Trading based on material non-public information
2
Tipping material non-public information
3
Misappropriation of information
4
Front-running
5
Institutional insider trading
1
Effective policies and procedures
2
Employee training
3
Trade monitoring and surveillance
4
Escalation processes
5
Whistleblower mechanisms
Approval: Legal Counsel for Insider Trading Rules Understanding
Will be submitted for approval:
Understanding of Compliance Audit Procedures
Will be submitted
Understanding of AML (Anti Money Laundering) and KYC (Know Your Client) Processes
This task focuses on providing a thorough understanding of Anti-Money Laundering (AML) and Know Your Client (KYC) processes. By completing this task, you will acquire the knowledge required to identify and prevent money laundering activities and ensure compliance with KYC regulations. Are you ready to dive into the world of AML and KYC processes?
1
Identity verification
2
Source of funds documentation
3
Enhanced due diligence
4
Politically Exposed Persons (PEP) screening
5
Ongoing monitoring
1
Reviewing identification documents
2
Conducting risk assessments
3
Screening against watchlists
4
Analyzing transaction patterns
5
Assessing beneficial ownership
Approval: AML & KYC Compliance Officer
Will be submitted for approval:
Understanding of AML (Anti Money Laundering) and KYC (Know Your Client) Processes
Will be submitted
Guidance on Handling Confidential and Proprietary Information
This task aims to provide guidance on handling confidential and proprietary information. By completing this task, you will gain a clear understanding of the best practices for protecting sensitive information and ensuring compliance with data privacy regulations. Are you ready to familiarize yourself with the proper handling of confidential and proprietary information?
1
Client data
2
Trade secrets
3
Investment strategies
4
Internal memos
5
Risk assessments
1
Encryption and secure storage
2
Strict access controls
3
Regular data backups
4
Employee confidentiality agreements
5
Information classification and labeling
Mock Compliance Auditing Exercise
This task involves participating in a mock compliance auditing exercise. By completing this task, you will have the opportunity to apply your knowledge and skills in a simulated compliance audit scenario, enhancing your practical understanding and identifying areas for improvement. Are you ready to put your compliance auditing skills to the test?
1
Planning the audit
2
Conducting fieldwork
3
Analyzing audit findings
4
Preparing the audit report
5
Implementing recommendations
Approval: Compliance Director for Mock Audit Completion
Will be submitted for approval:
Mock Compliance Auditing Exercise
Will be submitted
Formal Introduction to the Compliance Team and Assignment of Mentor
This task involves a formal introduction to the compliance team and the assignment of a mentor. By completing this task, you will have the opportunity to connect with your colleagues and establish a valuable mentoring relationship, ensuring a smooth transition into your new role. Are you ready to meet your fellow compliance team members and get assigned a mentor?
