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.
