Senior Analyst, Investment Compliance
7 days ago
Duties:
- Responsible for pre-trade, post-trade & batch monitoring activities of investment guidelines in support of the Asia Pacific offices.
- Investment breach investigation, reporting and escalation for Asia Pacific business.
- Responsible for maintaining rules in the investment compliance system (ie Charles River) covering Asia Pacific region.
- Be a key investment compliance contact point for investment personnel, Client Account Management, relationship managers, Product, Legal, Regulatory Compliance across APAC (including Hong Kong, Singapore).
- Working closely with the compliance monitoring team based in the UK & the US.
Key Requirements:
- Minimum of 5 years relevant investment compliance experience. Experience within asset management or a financial institution is an added advantage.
- Prior experience with trading/compliance systems & coding/programming, such as Charles River preferred.
- Excellent communication and interpersonal skills, with the ability to engage effectively with diverse stakeholders.
- The ideal candidate will have strong knowledge of securities instruments, particularly fixed income products, and familiarity with derivative instruments.
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