AVP, Investment Compliance

The AVP, Investment Compliance oversees investment compliance monitoring, mandate management, and breach investigation within the organisation's asset management activities. This role partners closely with Portfolio Managers, Trading Desks, and Operations to ensure regulatory and internal guideline adherence.

About the company

The organisation operates within the asset management sector, providing investment services across multiple asset classes and maintaining a focus on compliance and risk management.

Role Overview

The AVP, Investment Compliance, reports into the compliance team and manages the interpretation of investment agreements, regulatory restrictions, and internal policies. Success in this role includes effective trade oversight, breach resolution, and market surveillance across an array of financial instruments within a collaborative working environment.

Key Skills & Experience

• Interpret client Investment Management Agreements, prospectus limits, regulatory restrictions, and internal risk constraints
• Convert mandate and guideline requirements into rule coding within order management systems
• Review and resolve pre-trade trade blocks and post-trade breaches across global equities, fixed income, FX, and derivatives
• Lead investigations into mandate breaches or limit overshoots and collaborate with Portfolio Managers to determine root causes
• Conduct daily trade surveillance monitoring for market abuse, insider trading, front-running, cross-trading, personal trading exceptions, and best execution

Nice to Have

• Experience coding and monitoring rules in BlackRock Aladdin, Charles River Development, Bloomberg AIM, or Fidessa systems

Key Responsibilities

• Interpret and implement client investment policies into operational coding and compliance checks
• Review pre- and post-trade activity to ensure adherence to mandates and regulations
• Lead breach investigations with detailed root cause analysis and prepare reports for senior management and clients
• Perform daily surveillance activities to detect market abuse and other irregularities
• Partner with trading and operations teams to resolve compliance issues promptly

Requirements

• Right to work in Asia
• Bachelor’s degree in Finance, Economics, Business, Law, or a related field
• 5 to 8 years of direct investment compliance or mandate monitoring experience within a buy-side asset management firm, hedge fund, or institutional investment manager
• Hands-on operational experience coding and monitoring rules in major Order Management Systems (BlackRock Aladdin, Charles River Development, Bloomberg AIM, or Fidessa)
• Solid understanding of multi-asset financial instruments including Equities, Fixed Income, Foreign Exchange, and OTC/ETD Derivatives
• Strong working knowledge of key buy-side regulations such as the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, UCITS, and MiFID II

If you have the relevant skills and experience, please apply with an updated CV.