10 дней назад
APAC IC Officer
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
APAC IC Officer (Investment Compliance): Monitoring pre- and post-trade investment compliance activities across APAC with an accent on alert validation, investment restrictions, regulatory requirements, and exception documentation. Focus on analysing mandates and prospectuses, testing compliance rules, coordinating across regional and offshore teams, and improving monitoring processes.
Location: Tokyo, Japan; hybrid schedule with at least four days per week in the designated office and one day outside the office
Company
is a global investment management firm providing investment strategies and vehicles to clients worldwide.
What you will do
- Validate pre-trade alerts and post-trade monitoring results, providing second-line challenge and documenting analysis and outcomes.
- Investigate compliance exceptions, perform root-cause analysis, and maintain audit trails for rule interpretations, breaches, and monitoring decisions.
- Support investment restriction workflows with regional, global, offshore, investment, and trading teams.
- Analyse client mandates, prospectuses, and regulatory requirements to identify investment restrictions.
- Participate in rule testing, validation, regulatory change, audit, and process improvement activities.
- Coordinate investment compliance communication and stakeholder responses across APAC markets, including Japan and Australia.
Requirements
- 2–4 years of relevant experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function.
- Experience working with investment or trading teams and a good understanding of investment management processes, portfolio construction, and trading activity.
- Knowledge of asset management, investment products, strategies, regulatory frameworks, and investment restrictions across APAC.
- Understanding of products and strategies including regulated retail funds, MPF, UCITS, index-tracking strategies, segregated mandates, and alternative investments.
- Hands-on experience with compliance modules in platforms such as Aladdin, CRIMS, Charles River, Bloomberg, or equivalent systems is beneficial.
- Clear written and verbal communication skills in English, with strong analytical judgment, attention to detail, and the ability to manage multiple priorities.
Nice to have
- Japanese language capability, particularly for stakeholder engagement in relevant markets.
- Experience with investment compliance monitoring in asset management or another regulated financial services environment.
Culture & Benefits
- Hybrid workplace model aligned with business and client needs.
- Generous annual leave and flexible paid time off.
- Learning and development programs.
- Health and wellbeing benefits.
- Parental leave benefits and an employee stock purchase plan where applicable.
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