Manager, Investment Compliance

The Compliance Manager will work closely with the Asia Asset Management (AAM) Investment Compliance team stationed at Hong Kong and Philippines and business partners across the Asia region as center of excellence. The role plays a critical part in supporting our investment management businesses by managing BAU monitoring, testing and surveillance.

Skills/Capabilities

• Understand investment funds/management industry and knowledge of securities investments
• Strong analytical skills with high attention to detail
• Expertise in MS Excel, PowerPoint with Co-Pilot
• Logical mindset with understanding coding logics (e.g. AND, OR etc)
• Ability to identify risk and offer alternatives and solutions in managing issues identified
• Ability to learn via remote trainings and effectively able to deliver the same
• Demonstrate critical thinking and problem-solving abilities
• Excellent organizational, interpersonal, and communication skills

Responsibilities

Trade Desk Oversight Compliance

• Supports the Asia Asset Management (AAM) Compliance and Trade Desks Oversight Compliance Program.
• Program components such as:
• Trade Desks Oversight (Philippines, Hong Kong, Singapore, Bermuda, Vietnam, Indonesia and Malaysia)
• Investment Guideline Coding and Monitoring (Coding / Post-trade)
• Trade Practices Testing/ Surveillance (e.g. Best Execution, Fair Allocation, Market Misconduct)
• Sanction monitoring and reporting

Process Improvement:

• Identify opportunities for process enhancements in existing surveillance procedures.
• Assist in implementing best practices and process improvements as needed.
• Create/ Enhance resources and procedural documents outlining processes and updated practices as needed.
• Enhance, execute, and maintain surveillance and oversight programs
• Identify enhancement opportunities in logics to increase the accuracy of results and reduce false alerts

Reporting and Escalation:

• Communicate compliance issues and trends, prepare compliance reports to management committees
• Drive insights from data and testing results to provide reporting to management
• Support and coordinate efforts related to audits, reviews, examinations, and assist with regulatory filings

Business Projects

• Assist broader compliance team on projects as needed

Education and Experience

• Degree in Business, Finance, Economics, or related field
• CFA (or similar) designation, Industry Exams & Courses are a plus
• Experience with Bloomberg AIM CMGR/ Aladdin or order management compliance system module is a plus