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The Portfolio Monitoring team is a global function based in Hong Kong and is part of FIL's Global Compliance Monitoring department. The team is primarily responsible for performing End of Day ("EOD") portfolio compliance monitoring for all retail and institutional products globally managed by FIL as well as coding portfolio restrictions and investment guidelines in compliance monitoring system. The Portfolio Monitoring team also provides compliance guidance and support to FIL's investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FIL's institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally.
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. This includes managing/supervising junior team members and ensure delivery of high-quality portfolio compliance monitoring and assurance activities across all funds and products managed by FIL globally.
Take lead role in ensuring that all applicable regulatory and/or IMA restrictions and guidelines, applicable to various FIL managed portfolios, are accurately set-up in the Portfolio Compliance Monitoring system.
Actively participate in the launch of new complex products and investment mandates by advising various colleagues - within investment compliance as well as other functions, on the suitability of investment restrictions and guidelines in view of FIL's internal compliance systems and risk assessment framework.
Evaluate investment restrictions for compliance testing and provide expert level guidance and support to the team members on Charles River rule coding, testing and related queries.
Be the lead representative for the Global Compliance Monitoring function on the Charles River related technology projects and enhancements.
Peer review CRD rule coding done by other team members to ensure accuracy and suitability of the rules coded in the compliance system.
Assist in conducting other compliance monitoring including aggregate ownership monitoring, rules advice, and other investment compliance related matters and handling queries from investment professionals.
Develop and maintain effective working relationships with other functional areas for timely receipt of information required for the completion of tasks.
Mentor and guide more junior team members with rule coding in CRD and other related areas.
Provide a high-quality timely service to internal and external customers
Assist in a range of other FIL-wide projects or tasks as may be required from time to time.
Working Relationships / Contacts
Investment Compliance Advisory teams in London, Hong Kong, and Japan,
Portfolio Managers, Portfolio Services Group staff globally
Relationship Directors and Client Service Managers
Compliance Systems Support
Product Development teams
Data Management Services
Local Compliance Officers
Experience and Qualifications Required
Strong knowledge and experience in portfolio compliance monitoring and rule coding using Charles River (or similar) systems
Expertise in Charles River rule coding is preferred, so that you can conduct 'peer review' of the CRD rule coding done by other team members, review and sign-off rule forms (or any changes therein) as well as mentor and guide the team members with rule coding in CRD.
8-10 years' experience in working in the investment management industry (preferably buy side) and of investment products.
Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements
Strong instrument knowledge of equities, fixed income and derivatives
Business-level verbal and written English communication / presentation skills
Positive team player as well as the ability to work on their own initiative
Strong analytical skills, problem-solving ability and attention to detail
Investigative and questioning nature
Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes
Excellent inter-personal skills
Strong IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg and basic Macro would be an advantage
Ability to make decisions that are reasonable and logical