Job Description:


Key Responsibilities Experience Range


Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix
Liaise with clients to obtain additional information that may be necessary from time to time to code compliance matrix into the compliance system
Perform annual review of compliance rules in the matrix by comparing them against updated prospectuses/SAIs
Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines
Liaise with coding team for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients
Demonstrate in-depth knowledge of Investment compliance to translate client requirements into actionable items for internal teams and work with internal teams (For example, changes related to how a particular derivative should be treated for Derivative Coverage testing or CFTC Testing or IRC)
Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed
Provides immediate supervision to a group, assigning tasks and checking work at regular intervals
Supervises the daily and monthly activities of the Investment Compliance client service staff
Manages the day-to-day activities and controls to ensure accurate and timely dissemination of daily deliverables
Ensures team s adherence to Standard Operating Procedures
Manages and facilitates timely resolution of issues while keeping management informed of any potential issues
Responsible for performing daily processes accurately and in accordance with defined time frames and client requirements May have daily contact with Client Service, Client Management, COEs and Business Unit (BU) Shared Service teams
During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures
Conducts periodic performance reviews; provides ongoing counsel, training, development and motivation of staff
Participates on projects or committees within the department and/or with BU Shared Services, COEs and Client Operations teams



Skills Knowledge
Qualification Certifications


University degree in Business majoring in Accounting, Finance, or other Financial-related programs
Overall experience of 7+ years in Fund Administration or related work
Investment compliance monitoring or coding experience is a must (Pre or post-trade investment compliance)
Certifications Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities Investment) are preferred, but certification is not a must for the role



Primary Skills (Must Have)


Good knowledge of US Investment Companies Act of 1940 or UCITS
Strong communication, interpersonal, organizational, and time management skills
Ability to analyze investment guidelines and policies to determine testing requirements
Demonstrated managerial, leadership and decision making abilities
Excellent communication, organization, interpersonal planning, and analytical skills
Deadline and detail oriented
Demonstrated computer proficiency, including advanced knowledge of MS Excel, as well as problem solving and analytical skills


Secondary Skills (Good to Have)

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Profile Summary:

Employment Type : Full Time
Industry : Banking / Financial Services
Salary : Not Disclosed
Deadline : 18th May 2020

Key Skills:

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