Manager, Investment Compliance Centre of Excellence
1 week ago
**Job Description Summary**
- To utilize technology and centralized systems to perform second line investment compliance monitoring activities and demonstrate compliance with applicable investment standards, policies and procedures by providing feedback and monitoring results to Group Investment Compliance and the relevant Country Investment Compliance Leaders (“CICLs”);
- To provide support on discharging applicable group-wide disclosure obligations, such as substantial shareholding reporting and other investment compliance initiatives to further enhance internal controls; and
- To provide support on performing trade surveillance like Best Execution, Market Manipulation monitoring etc.
- To provide support on performing electronic communication surveillance
Second Line Investment Compliance Monitoring Activities:
- Utilizing centralized systems to further streamline the implementation of the relevant group-wide investment standards, policies and procedures on, among others, disclosures of interest reporting.
- Performing and coordinating daily post-trade investment compliance monitoring activities through relevant Bloomberg modules.
- Establishing, updating and gathering appropriate post-trade and other relevant investment compliance indicators.
- Review rules coded to ensure consistency, accuracy and completeness.
- Proficiency in guidelines interpretation, compliance rules coding, account review.
- Identification of incorrect coded rules and suggest how to interpret and correctly code the rules.
- Developing and maintaining second line trade oversight and market abuse monitoring (equities and fixed income) via Bloomberg Transaction Cost Analysis module or any other systems.
- Monitoring of disclosure of Interest alerts via an automated tool and report to Group Investment Compliance and/or Country Investment Compliance Leaders if required.
- Investigate and report breaches to ensure timely rectification.
- Performing E-communication surveillance on relevant teams if required.
Ad-hoc activities:
- Participate in ad-hoc team projects related to Investment Compliance initiatives and projects.
- Performing trend analysis across the relevant LBUs and AMCs and providing results to Group Investment Compliance or Country Investment Compliance Leaders with appropriate indicators to be updated from time to time.
- Preparation of presentation slides as and when required.
- Co-ordinate with Internal Audit in terms of providing them information as and when requested.
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