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Investment Compliance Analyst

Employer
LMA Recruitment, EA Licence No: 11C4684
Location
Singapore, Singapore
Salary
80,000
Closing date
Jun 4, 2022

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
KEY ACCOUNTABILITIES

Investment Compliance - assist business owners to identify and monitor guideline compliance (including both regulatory and client mandated guidelines)

Reporting - provide timely management of reports and escalation of regulatory and guideline compliance issues and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters.

Duties and Responsibilities:

Investment Guidelines Compliance
  • Conduct daily pre- and post-trade Investment Compliance monitoring
  • Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction
  • Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation
  • Perform reviews of manual control rule monitoring
  • Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required
  • Provide timely compliance reports and certification to clients on a periodic basis

Delegation Oversight
  • Review the regular attestation received from delegates and escalate any guideline compliance issues to management
  • Participate in on-going due diligence on delegations related matters

Coding & Innovation
  • Guideline interpretation, translation, testing and sign-off
  • Pre & Post trade monitoring process & policy documentation
  • Centralization on rule coding & testing for the firm's Local Business Units

General Assignments
  • Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team's Investment Compliance functions e.g., assist in new instrument approval process

EXPERIENCE / QUALIFICATIONS
  • Graduate or post-graduate degree in Business/Accountancy/Finance
  • Minimum 4 years of relevant financial regulatory compliance experience preferably in an asset management company
  • Strong knowledge of MAS Code of CIS, Central Provident Board Investment Scheme and UCITS Investment restrictions and investment guidelines
  • Candidates with BlackRock Aladdin or any similar investment monitoring related system experience within a multinational fund management would be preferred


Company Reg No.: 201131609D | License No.: 11C4684 | EA Reg no: R1660533

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