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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.
Purpose of your role
This role is within the Portfolio Monitoring team and reports to the Manager within the team. You will be responsible for the day to day portfolio compliance monitoring of various retail funds and segregated mandates managed by FIL globally, and liaising with Portfolio Managers and other relevant teams and internal/external stakeholders on any identified breaches. You will also be required to be closely involved in the take on process for new mandates and amendments of existing mandate restrictions by communicating with various teams on the suitability of the restrictions and setting up the investment restrictions in the compliance system.
In addition, you will also be responsible for conducting other compliance monitoring including aggregate ownership monitoring, rules advice, and other investment compliance related matters and queries from investment professionals.
To review, analyse and comment on investment guidelines for FIL's retail and institutional products
Evaluate investment restrictions for compliance testing
Take ownership of the account take-on process, ensuring that compliance monitoring systems are updated accurately and timely
Liaison with Investment Management Advisory colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams
Identify, track, resolve and report compliance breaches in-line with internal policy and regulatory requirements
Assist in other compliance related portfolio monitoring, including aggregate ownership limits
Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks
Provide a high quality timely service to customers
Assist in a range of FIL-wide projects or tasks
Working Relationships / Contacts
Investment Management Advisory departments in London, Hong Kong, and Japan,
Portfolio Managers, Portfolio Services Group
Relationship Directors and Client Service Managers
Compliance Systems Support
Product Development teams
Data Management Services
Local Compliance Officers
Your skills and experience
Experience in trade/portfolio compliance monitoring, ideally using Charles River systems
3+ years experience in working in the investment management industry (preferably buy side) and of investment products
Good understanding of portfolio monitoring processes, including the interpretation of client investment management agreements
Good instrument knowledge of equities, fixed income and derivatives
Bachelor of Business or Commerce preferred
Business-level verbal and written English communication / presentation skills
Positive team player as well as the ability to work on their own initiative
Good 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
Good IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg and basic Macro would be an advantage
Ability to learn quickly and make decisions that are reasonable and logical