Manager - Portfolio Compliance Monitoring

You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system.

Role & responsibilities

• To support the Global Investment Compliance Team in review, analyse and advise on investment guidelines.
• To support the Global Investment Compliance Team in review, analyse and advise on investment guidelines.
• Investigate the cause of daily alerts/warnings and report compliance breaches across various stakeholders
• Identify, report and follow up on resolution for compliance breaches in-line with internal policy and regulatory requirements
• Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into CRD
• Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded
  

Preferred candidate profile

• Experience in Investment compliance guideline rule coding in Charles River is a must;
  Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG
• Technology Savvy with experience in writing high quality, readable, reusable, testable code;
  Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage;
• Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements;
• 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products;