Description

Our client is Asia's leading asset management firm, overseeing a substantial portfolio of assets across public and private markets globally. As part of their ongoing expansion, they are looking to appoint an Investment Compliance Director/ Executive Director to join their established Compliance team. This position offers significant exposure to portfolio management, trading, and regulatory matters, making it an ideal opportunity for an investment compliance professional seeking to advance their career within a world-class asset management platform.

Key Responsibilities

Serve as a hands-on member of a six-person Compliance team, supporting the firm's investment compliance framework.

Perform daily pre-trade and post-trade compliance monitoring using Bloomberg AIM to ensure adherence to regulatory, client, and internal investment restrictions.

Develop, maintain, and enhance compliance rule coding within Bloomberg AIM.

Maintain and update investment compliance policies, procedures, and control documentation.

Provide timely and practical investment compliance advice to portfolio managers, traders, and investment teams on regulatory and mandate-related matters.

Monitor compliance with fund investment guidelines, regulatory requirements, and client mandates across various investment products and strategies.

Support compliance reviews, regulatory reporting, audits, and ad hoc compliance projects as required.

Requirements

Bachelor's degree or above from a recognized university.

5-10 years of relevant investment compliance experience within the asset management industry.

Proven hands-on experience with Bloomberg AIM, including compliance rule coding and trade surveillance.

Prior experience with a reputable asset management firm is highly preferred.

Strong knowledge of applicable regulatory requirements, including the Fund Manager Code of Conduct (FMCC), Unit Trust Code (UT Code), MPF regulations, and other relevant SFC regulations.

Solid understanding of the asset management business, investment products, and portfolio management processes.

Familiarity with SFC-authorized funds, UCITS structures, Cayman SPCs, and other collective investment schemes.

Strong analytical, problem-solving, and stakeholder management skills.

Excellent communication skills with the ability to provide practical compliance guidance to investment professionals.

Fluent in English and Chinese, including Mandarin.