Investment Compliance Lead - Asset Management Investment Compliance Lead - Asset Management …

Our client is looking for someone to join their APAC Investment Compliance team as an Investment Compliance lead. This team is an essential part of the Investment Teams, to ensure effective pre & post trade mandate restriction monitoring. You will work closely with members of the wider Investment Compliance globally and across other teams in the business regionally.

Our client is a global asset manager with Asia at its core, offering creative investment solutions to meet the financial needs of clients. Over the last 20 years, they have built a huge presence in 10 Asian markets as well as offices in North America and Europe. They manage a total of USD200 billion across equity, fixed income, multi asset, quantitative and alternative strategies on behalf of institutional and individual investors globally.

Description

• Perform monitoring for restrictions that cannot be coded in systems
• Perform regular review of violations for APAC portfolios
• Maintain and update breach record accordingly
• Override trade violations where necessary
• Code simple rules and review changes made by other team members
• Maintain rules in system and assist Trading Desks with queries
• Work closely with Fund Managers / Product / Client Executives on investment guidelines related matters
• Provide advice on the validity of pre-trade alerts

Profile

The ideal candidate should be familiar with investment guidelines monitoring and good knowledge of the regulations relating to investment restrictions. The candidate should be an undergrad with at least 6 years of investment compliance experience with investment/ asset managers in Hong Kong. It will be great if the candidate has covered the APAC region and can speak, read and write Chinese. You will be part of a small team in Hong Kong so you should be self-motivated, passionate and enthusiastic.

Job Offer

Excellent platform to develop investment compliance skills and take on a project management lead role.

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Jeremy Lam on +852 2848 4711.