Assistant Manager - Investment Compliance

Assistant Manager Investment Compliance for Leading Investment

- Total work experience of 6 - 8 years required including 3 - 5 years of relevant work experience of rule coding, pre and post trade monitoring with an investment advisor or mutual fund group in Compliance or regulatory environment.

- At least 2-3 years of hands-on people management experience.

- Strong knowledge of and experience with Equity/Fixed Income/ETF Products required, including UCITS Funds, Institutional Products and 40 Act Funds.

- Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.

- Experience with regulatory environments such as SFC, SEC, ERISA, CSSF, FCA and MPF is required.

Key Responsibilities / Duties:

- Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded and/or to code relevant rules on order management system

- Regular Rule maintenance on Order Management System (OMS) application i.e., Aladdin

- Conduct Account Mapping / Review viz a viz applicable rule

- Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system

- Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process

- Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification

- Assist in resolving queries with regional compliance teams

- Assist with ongoing review of relevant processes and procedures to ensure best practice

- Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership

- Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.

- Act as subject matter expert in resolving complex situations in day-to-day tasks and mentor other colleagues in team

- Assist in Compliance related projects and initiatives.

- Effectively find solutions to compliance issues as they arise.

- Provide guidance and training to new team members to take different responsibility.