Responsibilities:
Second Line Investment Compliance Monitoring Activities:
- Understanding of Investment & Regulatory Compliance.
- Performing and coordinating daily post-trade investment compliance monitoring activities through relevant Bloomberg modules.
- Proficiency in guidelines interpretation, compliance rules coding, account review.
- Hands on experience with rule coding and testing, generating post trade compliance reports, flagging anomalies.
- Investigate and report breaches to ensure timely rectification.
- Understanding of how daily post-trade investment compliance monitoring activities are performed through relevant Aladdin Compliance dashboard.
- Identification of incorrect coded rules and suggest how to interpret and correctly code the rules.
- Prior experience in implementing compliance rules, transitioning of rules from one platform to another.
- Understanding of SQL and ability to write queries using SQL (preferred)
- Prior experience of rule coding on Bloomberg and Aladdin (preferred)
- Ability to work in the fast-paced environment with strict deadlines.
- Understanding of pre trade and post trade compliance, implications of various categories of rule types, pre trade and post trade monitoring, generation of reports
Ad-hoc activities:
- Participate in ad-hoc team projects related to Investment Risk and Compliance initiatives and projects.
Requirements:
- Degree holder in Accounting, Finance, Economics or Business Management with a minimum of 10 years’ experience in investment compliance or related field.
- Strong investment compliance experience and has experience with Aladdin.
- Solid understanding of financial instruments especially derivatives.
- Understanding of Private Equity Investments will be an advantage.
- Strong knowledge of regulatory environment (MAS, UCITs, HK SFC, FATCA etc).
- Knowledge of investment compliance systems.
- Strong presentation and reporting skills.
- Fluency in English.
- A highly articulate and consultative approach.
- Technology savvy and detail oriented.
