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Investment Compliance Officer, APAC [ID:44541]新着求人
- 想定年収
- 別途ご案内致します
- 仕事内容
- About the role/Key Responsibilities:
The role is responsible for carrying out regional investment compliance monitoring activities, working closely with regional team members, offshore support teams, and key stakeholders. It supports accurate monitoring, timely issue identification, effective escalation, robust documentation, and ownership of outcomes, aligned with the global
Investment Compliance operating model.
• Validate pre-trade alerts in order management systems, providing effective second line challenge, working directly with investment and trading teams, and collaborating with Investment Compliance team members and other stakeholders as needed to support investment activity in a timely manner, with clear documentation of analysis and outcomes where required
• Oversee and validate post-trade batch monitoring output, providing effective second line challenge, and collaborating with investment, trading, Investment Compliance team members, and other stakeholders as needed to assess whether alerts are valid, including root cause analysis and documentation of compliance exceptions where required
• Work with offshore and global Investment Compliance teams to support investment restriction workflows, including clarification of requirements, follow up on outstanding items, and effective handoffs across teams
• Analyse client mandates, prospectuses, and regulatory requirements to identify investment restrictions
• Participate in rule testing and validation activities, ensuring outputs align with defined requirements
• Maintain accurate audit trails for rule interpretation, monitoring outcomes, compliance exceptions, and breach investigations, including clear documentation of analysis, decisions, and outcomes
• Respond to queries from investment, trading, and other stakeholders in a clear and timely manner
• Collaborate with regional and global teams to support consistent application of investment compliance standards and ways of working
• Support effective communication and coordination across the region and time zones, including in relation to APAC market coverage such as Japan and Australia
• Identify opportunities to improve processes, data quality, or monitoring efficiency, and contribute to the implementation of agreed improvements
• Support ad hoc compliance projects, process improvement initiatives, regulatory changes, and audit activities as required - 必要経験
- • At least 2 to 4 years of relevant experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function, ideally within asset management or another regulated financial services environment
• Experience with investment compliance monitoring is preferred
• Good working understanding of investment management processes, portfolio construction, and trading activity is highly desirable
• Experience working with investment or trading teams
• Good understanding of the asset management industry, regulatory environment, and investment products and strategies across the APAC region
• Knowledge of a broad range of investment products and strategies, including regulated retail funds, MPF, UCITS, index-tracking strategies, segregated mandates, and alternative investments
• Strong understanding of regulatory frameworks and investment restrictions across jurisdictions, including UCITS and relevant APAC regulatory requirements
• Hands on experience with compliance modules in order management or compliance monitoring systems such as Aladdin, CRIMS (CRD), Charles River, Bloomberg, or equivalent platforms is beneficial
• Japanese language capability is a strong advantage, particularly in supporting stakeholder engagement in relevant markets - 予定勤務地
- 東京都港区
- 企業名
- 社名非公開：外資系大手運用会社
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