Monitoring and Compliant of investment guidelines and restrictions
- Conduct compliance monitoring against policies and procedures.
- Monitor investment restrictions and guidelines, trade surveillance, AML, Sanctions, FATCA, etc.
- Assist in review of risk and control assessments (RCAs), outsourcing documents and business continuity plans.
- Assist in internal and external audits (such as ISAE 3402 and annual audits) and in regulatory inspections.
- A degree holder with least 2 to 5 years of working experience in compliance, risk management, audit and/or control function within an asset management business. Roles in investment operations would be useful.
- Knowledge of investment trading and compliance monitoring platforms such as Bloomberg AIM system and/or Blackrock Aladdin (or equivalent systems) is required.
- Familiar with compliance and monitoring coverage on Derivatives business (besides other asset classes) is required.