Investment Compliance Manager
Aim Higher
Hong Kong, Hong Kong

Company Description

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
  • Requirements

  • 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


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