Our client, as well-established asset manager, is seeking an Investment Compliance Manager.
Perform pre-trade and post-trade surveillance using Bloomberg system to ensure regulatory and Investment guidelines are strictly adhered to
Provide real time support on trading restriction, monitoring and approvals, and work closely with portfolio managers and trading team
Code and update investment rules and test investment restrictions according to clients and regulatory requirements
Act as the key contact point for investment compliance enquiries regarding Asia equities and Asia fixed income investments and liaise with regulator(s).
Work with custodians / trustee / other counterparties for investment restriction setup, handling due diligence / breach reporting, etc
Report and escalate investment breaches internally and investigate issues where required. Refine monitoring system and recommend remedial and mitigate measures
Manage regulatory reporting process and coordinate with auditors / fund accountants, and other service providers
University graduate with degree in Finance / Accounting / BBA / related discipline
At least five years of experience in investment compliance in the buy side focusing on Asia equities and Asia fixed income investments
Strong coding experience in investment compliance monitoring. Prior experience in Bloomberg system is highly preferred.
Good knowledge on MS Excel VBA
Excellent communication skills and ability to build good working relationship with stakeholders
A good team player and detail-oriented and be able to work under pressure
Interested parties please send your updated resume in WORD format with current and expected salaries (quoting Employer Ref : ) to banking aimHigher.com