Investment Compliance

Morgan McKinley
Shanghai, China
Jan 01, 2022
Jan 12, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
be actively engaged in providing compliance support and regulatory support to the investment management teams, serving as self-control point of Investment Department

Key Responsibilities

* Be a key role within Investment Department to provide advice, guidance, and compliance support to investment management functions, particularly portfolio managers, traders and corporate finance teams on various day to day matters.
* Actively support development, review and implementation of changes to policies and procedures related to investment management functions to ensure compliance with applicable regulations.
* You are required to coordinate and support implementation of internal policies and procedures applicable to the investment management functions.
* Pay full attention to the compliance of daily operation across investment management functions, promptly report and escalate compliance risks in accordance with the AMC policies and procedures once they are detected.
* Be a representative of Investment Department to coordinate with risk, compliance or internal audit teams if any remediation actions needs to be taken by Investment Department.
* Keep abreast of, monitor, and analyze regulatory trends and changes in various rules and regulations impacting the investment management functions and work closely in advising the management team, including internal stakeholders, of the impact of such trends and changes.
* To collaborate and partner with risk, legal, compliance and other oversight teams to represent the investment management functions on various regulatory and policy related discussions.
* Collaborate actively with investment management functions and work closely with compliance team and other oversight teams to provide compliance and regulatory advice and support for development of any new investment product, business initiatives and any regional / global projects as may be required from time to time.
* Provide support on various regulatory inquiries, particularly related to the investment management activities.
* Contribute to the development of compliance training programmes across the investment management function.
* Act as 1 Line of Defence across investment management to ensure trading/research quality, including related party transaction, material non-public information check, fixed income trading deviation check, onshore/offshore trading overlap analysis, etc,.
* Work with PCR to advise Portfolio Managers and senior management on all matters related to portfolio construction and risk, to provide functional back up and participate in Quarterly Fund Reviews as part of 1 Line of Defence in investment risk management process, together with regular monitoring of portfolios with deep analysis and reporting using a robust risk management framework within Investment Management.
* Provide a high-quality timely service to various internal stakeholders.
* Actively participate in relevant investment and compliance projects and range of other projects or tasks as may be required from time to time.

Experience and Qualifications Requires

* 6+ years' experience in a Compliance department within a large, global asset management firm or other comparable or relevant environment.

* Strong knowledge of buy-side investment processes and understanding of fixed income, equities and their derivatives

* Good understanding of investment management model and process and able to identify, prevent and report investment related compliance risks;

* CFA or FRM or equivalent qualification preferred, PRC fund qualification required after onboarding

* Ability to work independently

* Ability to build relationships of trust with senior management in the business and from Compliance and other oversight and control teams.

* Positive team player, ability to be flexible and adapt to a changing environment

* Strong analytical skills, problem-solving ability and attention to detail, with Investigative and questioning nature and ability to make sound decisions

* Deep understanding of investment risk, multi asset class risk models and quantitative analytics; Programming skills are very useful

* Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes

* Excellent interpersonal skills; experienced communicating and consulting at all levels especially senior management both verbally and in writing

* Strong IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg and basic Macro would be an advantage

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