Company Description

Our client, as well-established asset manager, is seeking an Investment Compliance Manager.

Responsibilities

• Perform pre-trade and post-trade surveillance using Bloomberg system to ensure regulatory and Investment guidelines are strictly adhered to
• Provide real time support on trading restriction, monitoring and approvals, and work closely with portfolio managers and trading team
• Code and update investment rules and test investment restrictions according to clients and regulatory requirements
• Act as the key contact point for investment compliance enquiries regarding Asia equities and Asia fixed income investments and liaise with regulator(s). Work with custodians / trustee / other counterparties for investment restriction setup, handling due diligence / breach reporting, etc
• Report and escalate investment breaches internally and investigate issues where required. Refine monitoring system and recommend remedial and mitigate measures
• Manage regulatory reporting process and coordinate with auditors / fund accountants, and other service providers

Requirements

• University graduate with degree in Finance / Accounting / BBA / related discipline
• At least five years of experience in investment compliance in the buy side focusing on Asia equities and Asia fixed income investments
• Strong coding experience in investment compliance monitoring. Prior experience in Bloomberg system is highly preferred. Good knowledge on MS Excel VBA
• Excellent communication skills and ability to build good working relationship with stakeholders
• A good team player and detail-oriented and be able to work under pressure

aimHigher provides professional executive search and recruitment selection service to companies. We help our clients to attract, select and engage the best and brightest talent. As your strategic business partner, we are committed in delivering a recruitment solution that meets your needs.

Our Consultants specialize in a range of industry and professional sectors, namely Banking and Financial Services, Finance & Accounting, Hospitality, Human Resources, Retail & Wholesale, Sales & Marketing, Sourcing & Merchandising and Supply Chain. Through such specialization, we ensure that we have the necessary knowledge and in-depth understanding to serve the needs of our clients.