Senior Analyst, Investment Compliance

7 days ago


Hong Kong, Hong Kong SAR China Danos Group Full time

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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