Investment Compliance Analyst
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
- Centralisation on rule coding & testing for the firm's 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 4 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
Company Reg No.: 201131609D | License No.: 11C4684 | EA Reg no: R1660533
