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Senior Manager/Associate Director - Investment Compliance
June 17, 2020
About Our Client My client is a market leading Asset Manager with a global footprint and reputable name for consistency and ensuring satisfied clients.
Their resolve to deliver strong results time after time and passion for varied investments is a beacon in the finance world as they look to ensure the business is strengthened from their APAC hub here in Hong Kong.
Consciously create a workplace culture that is in line with my client's core values of innovation, integrity and excellence.
As a senior member within the team, operate as a role model and leader within the function and actively support fostering a cohesive, creative, and efficient working environment within the team.
Emphasize quality, continuous improvement and high performance within the team.
To collaborate and partner with legal, compliance and other oversight teams across the region / globally to represent the investment compliance function on various regulatory and policy-related discussions.
Keep abreast of, monitor, and analyze regulatory trends and changes in various rules and regulations impacting the investment management functions and proactively advise the management, including various internal stakeholders, of the impact of such trends and changes.
Develop, review and recommend risk-based changes to policies and procedures related to investment management functions to ensure compliance with applicable regulations. You may also be required to coordinate regionally / globally and support implementation of internal policies and procedures applicable to the investment management functions.
Collaborate actively with team members and colleagues from other departments to support, advice and participate in the development of any new investment product, business initiatives and any regional / global projects as may be required from time to time.
Provide written responses to inquiries of a regulatory nature, supporting analysis, conclusions and recommendations upon well investigated and documented research of applicable facts, circumstances and regulatory requirements.
Represent Investment Compliance on regional and global committees and working groups as required.
Take lead and/ or participate, as required, in various regulatory developments and consultations.
Contribute to the development of compliance training programmes across the investment management function.
Provide high quality and timely service to various internal stakeholders.
Actively participate, and take a lead role, if required, in relevant investment and compliance projects and range of other FIL-wide projects or tasks as may be required from time to time.
Investment Compliance departments in London, Hong Kong and Japan
Institutional Business, Client Service Managers and Relationship Directors
Product Development teams
Legal, Business Compliance, Risk and other oversight functions
The Successful Applicant
7+ years' experience in a Compliance department within a large, global asset management firm or other comparable or relevant environment.
Strong instrument knowledge and understanding of equities and fixed income and related derivatives.
Emphasis on advising buy-side portfolio management, trading, and research teams on compliance issues such as conflicts, best execution, and market abuse. Working knowledge of portfolio compliance issues/advising on investment restrictions (e.g. UCITS) desirable.
Qualified lawyer or senior level of experience in a governance/oversight role (CA, CFA or equivalent qualification preferred)
Ability to build relationships of trust with senior management in the business and from Compliance and other oversight and control teams.
Team management experience and/ or mentoring and coaching junior staff will be an added advantage
Positive team player, ability to be flexible and adapt to a changing environment
Strong analytical skills, problem-solving ability and attention to detail, with Investigative and questioning nature and ability to make sound decisions
Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes
Excellent interpersonal skills; experienced communicating and consulting at all levels especially senior management both verbally and in writing
Strong IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg and basic Macro would be an advantage
What's on Offer The candidate would receive a competitive package with a yearly bonus and a great benefits package. A proactive environment that also encourages personal development is also offered.