Job Description

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Assume responsibility for the efficient functioning of the day-to-day responsibilities of the investment compliance area. Interact with the compliance team and dealing team on the interpretation and implication of compliance on the various areas of the investment compliance function.

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Duties and Responsibilities

The position focuses on the following main tasks, but not restricted to the below, and which will be applied to clients and prospective clients of the Group.

Main Tasks:

1. Dealing with all the pre-trade and post-trade compliance aspects (including but not limited to monitoring and reporting) in relation to regulatory requirements, industry guidelines and investment mandates.



2. Daily system / technical responsibilities:


Daily instrument maintenance Rule loading and maintenance General maintenance of compliance systems Daily breach monitoring Breach monitoring Regulatory reporting General queries

3. Understanding of investment restrictions for various areas in the business.



4. Understanding of investment management data sets including, but not limited to, portfolio valuation and trade data.

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Ideal Experience

2 - 3 years' experience in breach management and / asset management compliance will be a distinct advantage. Other relevant compliance/ financial services industry training; experience in financial services industry, in particular, asset management industry with sound knowledge of investment instruments and products.
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Ideal Qualifications

Relevant legal or financial qualification, e.g. BBusSci or B.Com. LLB
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Most Important Attribute

Excellent interpretation skills coupled with a business and problem-solving orientation.
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Systems Knowledge

Advanced skills in MS Excel essential. * Bloomberg or similar compliance systems experience is an advantage.