Our investment professionals are responsible for delivering investment outcomes to our clients. They are enabled by many teams including Front Office Services (FOS), which is responsible for operations, investment compliance oversight & support functions.
KEY ACCOUNTABILITIES
- Investment Compliance – assist business owners to identify and monitor guideline compliance (including both regulatory and client mandated guidelines)
- Reporting – provide timely management of reports and escalation of regulatory and guideline compliance issues and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters.
Duties and Responsibilities:
Investment Guidelines Compliance
- Conduct daily pre- and post-trade Investment Compliance monitoring
- Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction
- Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation
- Perform reviews of manual control rule monitoring
- Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required
- Provide timely compliance reports and certification to clients on a periodic basis
Delegation Oversight
- Review the regular attestation received from delegates and escalate any guideline compliance issues to management
- Participate in on-going due diligence on delegations related matters
Coding & Innovation
- Guideline interpretation, translation, testing and sign-off
- Pre & Post trade monitoring process & policy documentation
- Centralization on rule coding & testing for Eastspring Local Business Units
General Assignments
- Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team’s Investment Compliance functions e.g. assist in new instrument approval process
EXPERIENCE / QUALIFICATIONS
- Graduate or post-graduate degree in Business/Accountancy/Finance
- Minimum 2 years of relevant financial regulatory compliance experience preferably in an asset management company
- Strong knowledge of MAS Code of CIS, Central Provident Board Investment Scheme and UCITS Investment restrictions and investment guidelines
- Candidates with BlackRock Aladdin or any similar investment monitoring related system experience within a multinational fund management would be preferred
PERSONAL ATTRIBUTES
- Highly diligent, resourceful and curious
- Excellent communication skills, written and verbal
- Effective inter-personal skills and ability to work with different stakeholders
- Maturity, commitment, and drive
- Resilient in dealing with multiple initiatives and challenges
- Interest in innovation and technology to standardize and optimize operations
- Forward looking mindset, independent judgment and robust analytical skill
