Job ref no.: CT3114388-01#8598

Senior Manager - Investment Compliance

Robert Walters

  • Discretionary bonus

This role will be a senior compliance professional within the Portfolio Compliance/Investment Compliance team reporting to the regional Head of Portfolio Compliance who sits in Singapore. The position will manage or oversee two subordinates and work closely with senior leadership and investment teams on all matters relating to investment compliance including; pre-trade/post-trade monitoring, investment restriction coding and monitoring, real-time regulatory advise and other matters.

This person will be responsible for:

  • leading a small team of investment compliance professionals to ensure full portfolio compliance with relevant regulatory guidelines
  • interpreting code and reviewing investment restrictions in the firm's investment guideline monitoring systems
  • reviewing and clearing any post-trade exceptions from set investment guidelines
  • overseeing pre-trade compliance checks for any exceptions to the investment guidelines that cannot be automated
  • working with business units and investment teams to ensure strong compliance culture remains intact and business in fully updated on relevant regulatory developments
  • partnering with cross-functional teams on firmwide projects
  • handling any ad hoc matters as required

This person should have:

  • minumum 7-10 years of experience in compliance function within asset management industry
  • demonstrated exposure to investment compliance, including investment guideline monitoring and investment restriction coding
  • hands-on experience with either Aladdin or Charles River systems
  • ability to speak and read Mandarin (as one subordinate will sit in mainland China)
  • previous experience managing or mentoring a team

Get in touch

Tony Wilkey

+852 2103 5338

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More job information
Job ref no. CT3114388-01#8598
  • N/A
Job Function
Employment Term
  • Full-time
  • 7 years - 15 years
Career Level
  • Middle management level
  • N/A