12 часов назад
Portfolio Compliance Analyst
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Portfolio Compliance Analyst (Investment Compliance): Monitoring mutual funds and segregated client accounts through daily portfolio analysis and pre-trade screening with an accent on investment restrictions, regulatory requirements, and risk controls. Focus on resolving compliance alerts and post-trade exceptions, improving monitoring systems, supporting account onboarding, and coordinating with trading, portfolio management, operations, accounting, and technology teams.
Location: Hybrid role based in Hong Kong
Company
is an asset manager serving clients through investment expertise, market insights, and global teams.
What you will do
- Monitor mutual funds and segregated client accounts against regulatory requirements, fund documents, client guidelines, and company policies.
- Perform pre-trade screening and resolve compliance alerts with traders and portfolio management teams.
- Review post-trade exceptions, track violations, assess potential compliance issues, and escalate matters when required.
- Respond to information requests and prepare certifications and reports for regulators and clients.
- Evaluate and improve compliance controls, monitoring systems, and related processes.
- Support account onboarding, interpretation of investment guidelines, compliance-rule testing, and project initiatives.
Requirements
- Bachelor’s degree in Accounting, Finance, Business Administration, or an equivalent qualification.
- 2–3 years of experience in investment management, preferably in investment compliance or restriction monitoring.
- Understanding of applicable legislation, including the SFC Code on Unit Trusts and Mutual Funds and Mandatory Provident Fund Schemes regulations, is preferred.
- Knowledge of multiple asset classes, strong analytical and problem-solving skills, attention to detail, and effective communication.
- Ability to manage multiple tasks under tight deadlines and work independently with minimal supervision.
- Proficiency in Microsoft Office.
Nice to have
- CFA or FRM certification.
- Ability to speak Mandarin and read Chinese.
- Experience with Charles River, Aladdin, or other compliance systems.
Culture & Benefits
- Inclusive, welcoming, and supportive working culture.
- Opportunity to collaborate with globally diverse teams across the Asia region.
- Cross-functional exposure to portfolio management, trading, investment risk, operations, fund accounting, and technology teams.
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