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Investment Compliance Manager - Asset Management

BTI Executive Search Pte Ltd
Hong Kong
Posted 1 day ago Permanent Negotiable
Posted by
Simon Yeung
BTI Executive Search is currently partnering with a leading Asset Manager, in search for an Investment Compliance Manager


This role will assist in pre-trade clearance and monitoring on triggered alerts on trading activities in compliance with the investment guidelines. Perform daily post trade compliance review and prepare investment compliance guidelines of fund prospectus. Enhancement and streamlining of existing rules.

Preparing and submitting required reports to the SFC.


The ideal candidate should have around 5-7 years of experience in investment compliance for retail and overseas funds. A good understanding of SFC investment guidelines and strong technical background in Aladdin and Bloomberg.

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