Investment compliance, AVP - Asset management

A leading global asset management firm is seeking for an experienced Investment Compliance professional to join their team.

Key Responsibilities:

• Ensure that all activities in the Asia Pacific offices comply with regulatory requirements within the Investment Compliance area and other applicable standards.
• Develop, implement, and maintain policies and procedures to ensure compliance with relevant laws, regulations, and internal policies.
• Provide guidance, advice, and training to staff on Investment Compliance matters.
• Review and analyze pre-trade requests related to cross trades, order cancellations, material order modifications, and same-day buy/sell transactions.
• Conduct compliance monitoring activities, focusing on best execution, market abuse, insider dealing, cross-trades, and fair allocations.
• Report findings and violations detected during compliance monitoring activities.
• Analyze and escalate complex trade errors and market abuse cases, guiding investigations and corrective actions.
• Collaborate with relevant teams on economic sanctions affecting investment and trading activities.
• Support guideline coding, review pre-trade guideline breach alerts, and analyze post-trade guideline breaches.
• Participate in internal compliance reviews and prepare comprehensive compliance reports for senior management and external clients.
• Undertake tasks related to audits, reviews, and regulatory examinations.
• Stay informed on new regulatory developments that impact business activities.
• Promote a culture of compliance and continuous improvement through staff training and guidance.
• Build strong partnerships with local investment professionals and maintain relationships with compliance colleagues across regions.

Requirements:

• University degree in law, business management, or a related field.
• 4-5 years of experience in the financial industry, particularly in asset management, with a focus on governance functions such as Legal & Compliance, Risk Management, or Internal Audit.
• Strong understanding of current issues affecting the financial services and asset management industry, with knowledge of operational and regulatory frameworks from a compliance perspective.
• Experience with Bloomberg and investment guidelines coding preferred.
• Comprehensive knowledge of financial instruments, derivatives, and investment strategies.
• Strong verbal and written communication skills in both English and Chinese.
• Ability to work under pressure, meet deadlines, and take initiative.
• Team player committed to fostering a strong compliance culture within the organization.
• Adaptability to a fast-changing environment and capability to explain complex issues clearly and propose practical solutions.
• Experience working in a global and multicultural environment.