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Investment Compliance (Asset Management)

Non-disclosed Hong Kong
Posted 2 days ago Flexible Permanent HK$6000k - HK$6000k
Selby Jennings is a leading specialist recruitment firm for banking and financial services. For more than 15 years, we have given professionals peace of mind that the recruitment journey is in expert hands. Our continual investment in best-in-class technologies and consultant training enables us to match candidates and world-leading companies with speed, precision and accuracy. Today, Selby Jennings operates all over the world to help professionals reimagine their careers, globally.

Our Client

One of the largest Chinese asset management firm is looking to add an investment compliance individual with Bloomberg AIMS (CMGR) experience.

Job Responsibility

  • Perform pre-trade and post-trade compliance check on investments / fund portfolios via the use of Bloomberg AIM;
  • Approve / reject / override trade orders to ensure compliance of investment activities of funds / mandates according to the respective prospectus / IMA;
  • Review and analysis investment scopes, restrictions and guidelines of funds / segregated mandates for rule set up purpose and implement or amend the concluded rules on Bloomberg AIM;
  • Coordinate investigations on active breaches / trading errors / investment incidents and escalate and report the incidents with root causes, remedial actions and enhancements to department head, senior managements and regulators where necessary;
  • Provide monthly / quarterly investment certificates to segregated mandate clients;
  • Review best execution and fair allocation reports on a monthly basis;
  • Perform surveillance on abnormal trades, insider trading, investment misconduct on a monthly basis;
  • Provide advices to portfolio managers / traders from investment compliance point of views;
  • Liaise with trustees ( in case of HK-authorized funds) / management company (in case of UCITS) for investment compliance related matters;
  • Handle other investment compliance matters or assist projects as assigned from time to time.

Job Requirement

  • 3+ years of experience in investment compliance;
  • Ideally using Bloomberg AIMS but other internally developed program, Charles River, and Alladin is also relavant;
  • Need direct experience of investment compliance experience.

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