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