The incumbent will primarily focus on performing the day to day investment compliance monitoring activities independently to ensure that the investment portfolios adhere to the applicable regulations and regulatory guidelines as well as the requirements from the prospectus and the clients. The incumbent will also provide advice to the stakeholders on investment products, investment management and trading activities from Compliance's perspective.
- Contribute to the on-going development and implementation of the risk-based investment compliance monitoring approach and framework
- Monitor the compliance of investment restrictions with the use of Charles River and Aladdin covering the APAC region
- Review the investment restrictions in the investment compliance monitoring system and test the effectiveness of the newly set-up or revised rules
- Investigate the actual and potential investment breaches and trading errors and follow up with the relevant parties on the rectification
- Provide Compliance advice on investment management activities and enquiries from internal and external stakeholders
- Coordinate with regional compliance counterparts in completing the regional projects/common compliance tasks
- Prepare regular compliance certificates and reports for submission to the clients, affiliated companies, and trustees
- Communicate with global compliance counterparts on global projects/initiatives
- Assist with ad-hoc compliance work and projects as required
