Lead Specialist, Investment Compliance Centre of Excellence (IC COE)

It’s about finding new ways to not only better people's lives, but to better the communities and environments we live in. Encompassing our ambition of helping a billion people live Healthier, Longer, Better Lives by 2030.

And to get there, we need ambitious people who believe in playing an important part in shaping that future. People seeking unmatched career and personal growth opportunities, who are driven to work with, and learn from some of the most inspiring and supportive leaders in the business.

• Performing and coordinating daily post-trade investment compliance monitoring activities through relevant Bloomberg modules.

• Proficiency in guidelines interpretation, compliance rules coding, account review.

• Understanding of how daily post-trade investment compliance monitoring activities are performed through relevant Aladdin Compliance dashboard.
• Identification of incorrect coded rules and suggest how to interpret and correctly code the rules.
• Ability to work in the fast-paced environment with strict deadlines.
• Understanding of pre trade and post trade compliance, implications of various categories of rule types, pre trade and post trade monitoring, generation of reports

• Developing and maintaining second line trade oversight and market abuse monitoring (equities and fixed income) via Bloomberg Transaction Cost Analysis module or any other systems.

• Investigate and report breaches to ensure timely rectification.

• Prior experience of rule coding on Bloomberg and Aladdin (preferred)

• Administer the Personal Dealing Standard/policy which includes but not restricted to -

• Review of broker account statements.
• Review of monthly personal trading transactions.
• Investigate any Personal Dealing breaches.
• Perform, or support, the role of the Personal Dealing monitoring tool system administrator.

• To perform or carry out monitoring and assurance activities of our clients based on the annual Investment Compliance Plan
• To ensure all monitoring activities performed are documented and supported.

• Participate in ad-hoc team projects related to Investment Risk and Compliance reportings, initiatives and projects.

•  Degree holder in Accounting, Finance, Economics or Business Management with a minimum of 10 years’ experience in investment compliance or related field. 

• Solid understanding of financial instruments especially derivatives.

• Understanding of Private Equity Investments will be an advantage.

• Strong knowledge of regulatory environment (MAS, UCITs, HK SFC, FATCA etc) would be preferred

• Knowledge of investment compliance framework, processes and systems.

• Strong presentation and reporting skills.  

• Fluency in English.

• A highly articulate and consultative approach.

• Technology savvy and detail oriented.

Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives.

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