Senior Analyst, Investment Compliance
T. Rowe Price
Hong Kong
1天前

A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients.

We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.

We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.

If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.

Principal Responsibilities

TRADING / PORTFOLIO COMPLIANCE :

Responsible for pre-trade & post-trade monitoring activities of investment guidelines in support of the Asia offices including but not limited to :

  • Review compliance exceptions in a timely manner / within established deadline, providing subject matter expertise and communicating critical information to investment personnel (Professionals (Portfolio Managers, Analysts, Traders and Investment Trading Solutions)
  • Report and escalate compliance breaches internally. Collaborate with investment personnel, Investment Operations, Global Client Operations, Legal or Risk to resolve compliance issue where appropriate.
  • Develop a proficient understanding of the investment compliance systems, Charles River
  • Provide consultative compliance support to the Equity and Fixed Income investment business and support functions in Asia Pacific region.
  • Assist as a local contact point for investment personnel in HK, SG and Australia for questions related to investment compliance matters.

  • Demonstrate initiative and independent thinking by regularly reviewing processes to identify areas of risk and potential improvement
  • Work closely with the compliance monitoring team based in US / UK / Japan / Australia
  • Handle due diligence questionnaires, regular reporting to internal stakeholders
  • Involve in ad-hoc projects
  • RULE BUILDING & NEW ACCOUNT TAKE ON ( NATO ) :

    Responsible for maintaining rules on the investment guidelines in the investment compliance system (ie Charles River) covering Asia Pacific region :

  • Collaborate with investment personnel to understand their perspective and the impact of investment guideline issues and interpretations on the investment process.
  • Review investment restrictions in proposed new account documentation and guideline amendment language to ensure ability to code the compliance system as well as clarify intent, if needed
  • Program logic-based rules in Charles River in order to effectively monitor client and regulatory requirements
  • Collaborate with investment staff to ensure rule coding achieves alignment between client / regulatory requirements and the investment strategy of each portfolio
  • Perform quality assurance testing and review of rules programmed by other team members
  • Evaluate compliance system functionality and available data elements to determine how restrictions can be captured in the compliance systems
  • Work closely with the rule building teams based in US & UK
  • Assist in rule building projects on an ad-hoc basis
  • Assist in facilitating the integration of new business into the investment compliance monitoring program for Asia-Pac clients which may be subject to complex investment restrictions and regulatory requirements, including fixed income, derivatives and legal regulations
  • Work to improve the client experience with respect to the implementation of investment guidelines by advocating process enhancements internally and with Global Client Operations.
  • Qualification

    List the required knowledge and skills (e.g., attributes such as interpersonal skills, communication skills, leadership ability, etc ) that a person will need to be successful in this position :

  • University graduate
  • Minimum of 3 years relevant investment compliance experience
  • Solid experience in the investment management industry. Prior experience in dealing with investment personnel (including trading team) is a plus.
  • Knowledge of UCITS, 1940 Act, Japan JITA (and other jurisdictions in Asia is a plus)
  • Prior experience with trading / compliance systems, such as Charles River preferred
  • Solid knowledge of securities instruments, fixed income is a must. Familiar with derivative instruments.
  • Ability to work under pressure and produce timely results independently
  • Team worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
  • Good analytical skills and ability to make critical, time sensitive decisions
  • Strong communication skills
  • Good command of spoken and written English and Chinese
  • Working hour flexibility
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