Operations - Investment Compliance - Associate
Operations - Investment Compliance - Associate
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Job Description
Are you passionate about driving excellence in compliance and client engagement with a focus on Environmental Social and Governance (ESG) and/or sustainability If so this is the perfect opportunity for you!
As an Associate within our Investment Compliance team youll play a pivotal role in shaping our Investment compliance guideline and regulatory framework. Your entrepreneurial spirit and intellectual curiosity will thrive in our dynamic and flexible environment where youll deliver world-class data solutions to institutional clients and influence our compliance service providing top-notch global regulatory coverage. Youll be instrumental in building a top-tier compliance reporting operations function in the APAC region. Youll engage directly with clients lead strategic initiatives and partner with global stakeholders to assess business needs and deliver innovative solutions.
Job responsibilities:
- Lead and inspire a regional Investment Compliance operations team fostering a culture of ownership communication and strategic decision-making.
- Act as a primary client contact driving engagement through meetings global best practice adoption and governance.
- Interpret prospectus and code rules into our Investment Compliance system ensuring alignment with client needs.
- Champion innovation and continuous improvement focusing on measurable productivity and quality gains.
- Collaborate with global stakeholders to achieve business goals and implement product/technology enhancements.
- Represent Investment Compliance in various forums positioning the team as a leader in the firm and industry.
- Stay ahead of industry and regulatory developments providing insights and fostering information sharing across the business.
- Drive strategic business initiatives to maximize operating performance and client satisfaction.
- Lead client service reviews and Due Diligence meetings acting as the Senior Escalation owner when necessary.
Required qualifications capabilities and skills:
- At least 5 years of proven experience in Pre or Post Trade Investment Compliance with expertise in rule interpretation and coding.
- Demonstrated client engagement and management skills.
- Strong management and leadership skills with the ability to inspire and influence a team.
- Deep knowledge of investment mandate/guideline requirements and relevant regulations.
- Experience engaging with senior investment and compliance professionals.
- Proficiency with Investment Compliance systems or tools.
- High standard of accuracy and attention to detail.
- Comprehensive financial instrument knowledge including Fixed Income Equity and Derivatives.
- Strong analytical and problem-solving skills with a proactive approach to driving change.
Preferred qualifications capabilities and skills:
- Knowledge of Asian country regulations.
- Chartered Financial Analyst (CFA) Financial Risk Manager (FRM) or ESG qualifications will be beneficial.
- Prior experience in Performance Market Risk or ESG related roles will be an advantage.
- Fluency in Cantonese and/or Mandarin will be preferred.
Required Experience:
IC
Employment Type
Full-Time
