Lead Specialist, Investment Compliance Centre of Excellence (IC COE)

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About the Role

Responsible for ensuring compliance in the execution of investment activities

Second Line Investment Compliance Monitoring Activities:

Post trade compliance monitoring

• Performing and coordinating daily post-trade investment compliance monitoring activities through relevant Bloomberg modules.

• Proficiency in guidelines interpretation, compliance rules coding, account review.

• Understanding of how daily post-trade investment compliance monitoring activities are performed through relevant Aladdin Compliance dashboard.
• Identification of incorrect coded rules and suggest how to interpret and correctly code the rules.
• Ability to work in the fast-paced environment with strict deadlines.
• Understanding of pre trade and post trade compliance, implications of various categories of rule types, pre trade and post trade monitoring, generation of reports

• Developing and maintaining second line trade oversight and market abuse monitoring (equities and fixed income) via Bloomberg Transaction Cost Analysis module or any other systems.

• Investigate and report breaches to ensure timely rectification.

• Prior experience of rule coding on Bloomberg and Aladdin (preferred)

Personal Dealing compliance monitoring

• Administer the Personal Dealing Standard/policy which includes but not restricted to -

• Review of broker account statements.
• Review of monthly personal trading transactions.
• Investigate any Personal Dealing breaches.
• Perform, or support, the role of the Personal Dealing monitoring tool system administrator.

Annual Investment Compliance Plan

• To perform or carry out monitoring and assurance activities of our clients based on the annual Investment Compliance Plan
• To ensure all monitoring activities performed are documented and supported.

Ad-hoc activities:

• Participate in ad-hoc team projects related to Investment Risk and Compliance reportings, initiatives and projects.

Job Requirement

• Degree holder in Accounting, Finance, Economics or Business Management with a minimum of 10 years experience in investment compliance or related field.

• Solid understanding of financial instruments especially derivatives.

• Understanding of Private Equity Investments will be an advantage.

• Strong knowledge of regulatory environment (MAS, UCITs, HK SFC, FATCA etc) would be preferred

• Knowledge of investment compliance framework, processes and systems.

• Strong presentation and reporting skills.

• Fluency in English.

• A highly articulate and consultative approach.

• Technology savvy and detail oriented.