This role sits within the specialized Asia Compliance branch of a premier, privately held global asset manager.
Key Core Responsibilities
- Trade Monitoring & Overrides: Conduct daily real-time pre-trade and post-trade compliance reviews across diverse fund mandates and account structures to ensure adherence to strict investment guidelines and policies.
- Information Barrier Management: Administer the front-office Information Barrier and wall-crossing protocols, actively evaluating restricted/watch lists to mitigate risks associated with material non-public information (MNPI).
- Regulatory Liaison & Advisory: Provide actionable, timely guidance to investment teams regarding complex strategies, and assist on global regulatory change projects and audit inquiries.
- Risk & Reporting Systems: Partner with technology and operational teams to implement advanced monitoring mechanisms and deliver clear trend analysis and process improvements to senior compliance leadership.
Required Background & Experience
- Education: Bachelor's degree in Business, Law, Finance, or a related analytical discipline.
- Industry Tenure: 3 to 8 years of experience in a fast-paced buy-side asset management or sophisticated trading environment.
- Technical Knowledge: Proven exposure to automated trade order compliance platforms (e.g., Bloomberg AIM, Charles River, or equivalent), mutual fund guidelines, or portfolio risk frameworks.
- Soft Skills: Strong problem-solving capabilities, exceptional written and verbal communication, and the agility to multi-task under high-pressure floor environments.
- Language: Business fluency in English is mandatory; proficiency in Mandarin or Japanese is highly advantageous.
If you are interested in this role, please click 'Apply Now' or send your CV directly to
[email protected].
