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Tier-1 brand, metro location, and mid-level compliance role increases competition.
Highly domain-specific investment compliance skills limit transferability across industries.
Explicit 6+ years, specific investment compliance, regulatory expertise and preferred certifications raise shortlist strictness.
Review, analyse, and advise on investment guidelines for institutional and retail products globally.
Investigate, classify, and resolve portfolio compliance breaches and post-trade violations in line with regulatory and internal policies, including coordination with Portfolio Managers and relevant stakeholders.
Enhance and execute compliance monitoring activities through automation improvements, manual testing, reporting, and documentation to ensure robust controls.
6+ years of experience in investment management industry, preferably in investment compliance.
Experience in investment compliance guideline monitoring is mandatory; rule coding experience is preferred.
Strong knowledge of portfolio monitoring processes and regulatory environments such as UCITS, SICAV, MPF, and Investment Company Act of 1940 is advantageous.
Preferred qualifications include CFA, FRM, or Bachelor of Business/Commerce; business-level English communication skills required.
Experienced in handling regulatory compliance across diverse investment products including equities, fixed income, and derivatives.
Demonstrates operational ownership in coordinating with multiple global teams and following strict compliance rules for investment portfolios.
Operates well under pressure managing tight deadlines with strong problem-solving, organizational and process improvement capabilities.