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Job Title: Senior Executive- Investment Compliance Services

Company: Global Asset Management House

Corporate Title: Flexible Salary Range: Generous Package
Location: Singapore Date Open: July 2020

Responsibilities / Duties:

  • Investment Compliance Services – Assist business owners to identify and monitor guideline compliance (including both regulatory and client mandated guidelines)
  • Reporting – To 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.
  • 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 restrictions.
  • Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology and automation.
  • Perform review of manual control rules 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
  • General Assignments
  • Perform other guideline compliance tasks which may be assigned from time to time by supervisor to discharge the team’s Investment Compliance functions e.g. assist in new instrument approval process.

Requirements / Qualifications:

  • Graduate or post-graduate degree in Business/Accountancy/Finance.
  • 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 Aladdin or any similar investment monitoring related system 
  • experience within a multinational fund management would be preferred.
  • 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 operations.
  • Forward looking mindset, independent judgment and robust analytical skill.