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AVP - Investment Compliance

  • Strong Corporate Culture
  • Leading Asset Management Firm
  • Competitive Remuneration Package

Our client is a leading asset manager with a strong history of success across the Asia Pacific region. A fantastic opportunity has arisen for an experienced Investment Compliance professional to join this dynamic firm.

The key responsibilities for this position are as follows:

  • Ensure that regulatory, client restrictions and internal guidelines are monitored and that all breaches reported are actioned appropriately.
  • Maintain appropriate systems to facilitate the operation of effective controls over investment restrictions.
  • Develop and improve the current systems functionality and prepare for future regulations impacting investment compliance.
  • Work with Fund Management and Client Relationship teams to ensure all Investment Restrictions and Guidelines are accurately documented.
  • Contribute towards the Annual Fund Review process from a compliance perspective.

Successful applicants will have the following skills and experience:

  • Degree qualified with at least 5 years of compliance experience gained in a leading asset management firm.
  • Prior experience in investment compliance is highly preferred.
  • Knowledge of Charles River Investment Management System and Aladdin or relevant systems.
  • Superior communication and interpersonal skills with the ability to be able to build positive and stable relationships across all levels of the business.
  • Analytical skills to facilitate risk and control assessment.
  • Sound verbal and written communication.
  • Attention to detail and the ability to constructively resolve problems.
  • Fluency in written and spoken English and Cantonese.

Information provided is for recruitment purposes only.

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