Key Roles and Responsibilities of Investment Compliance AD/D, Investment Management
- Conduct monitoring and surveillance of compliance reviews, investment guidelines, checklist research, analysis, testing, reconciliation, reporting and order management
- Use of compliance operational systems
- Execute and pre and post trade surveillance, trading, period testing and other testing programs to ensure compliance
- Handle documentation for internal and external audit
- Keep up to date on regulatory updates, regulations, compliance system changes
- Assist in regulatory reports and support the compliance team
Requirements & Skills of the Investment Compliance AD/D, Investment Management
- 7 to 10+ years' experience with relevant experience in fund management, hedge fund,fund house, investment bank or financial services
- Team lead experience is preferred
- Good operational understanding of investment compliance, risks and regulations and assets - FX, rates, equities, and associated derivatives
- Demonstrated knowledge of market regulations - MAS, SEC, FCA
- Hands on experience with trading systems - Bloomberg, Charles River etc.
- Keen eye for detail, analysis and problem-solving
- Strong team player with the ability to work independently
- Programming experience is advantageous - Python, SQL,VBA
