Portfolio Compliance Specialist
Consultant Sabrina Yap (R1879576)
Date posted 12 April 20192019-04-12 2019-05-12 financial-services Singapore SG SGD 5000 8000 8000 YEAR Robert Walters https://www.robertwalters.com.sg
An exciting Portfolio Compliance Specialist opportunity has arose with a large and global Investment firm in their Singapore office. This role is an integral part of the legal and compliance department.
About the Portfolio Compliance Specialist Role:
In this business critical role, you will be responsible in leveraging your knowledge to monitor client investment guidelines for client accounts and work with investment professionals to resolve guideline exceptions. In addition to reviewing the compliance alerts in Charles River, you will also assist with reviewing new guidelines and amendments to ensure the accuracy and time lines of rule coding in Charles River.
- Daily monitoring of compliance alerts in CRD and analysis of client investment guidelines to determine if a guideline breach has occurred
- Work with investment professionals to resolve guideline issues
- Assist the manager in reviewing, analysing and interpreting restrictions found in client contracts, guidelines, amendments and other correspondence
- Assist the manger in coding client investment guidelines into CRD
- Assist the manager in testing client restrictions as they are input into CRD, providing feedback and solutions for issues that arise
- Participate in ad hoc projects as necessary
- Determine best practice and oversee the implementation of consistent procedures across all teams. Review the practices and workflows across the various teams. Identify inconsistencies in practice and in the use of tools. Develop a plan to identify best practice in order to increase efficiency and effectiveness, minimise dispersion and reduce risk
To succeed in this Portfolio Compliance Specialist role, you will need to have strong attention to detail and working experience with Charles River.
- Bachelor’s degree in business, finance, accounting or management
- Charles River Compliance rule coding experience is desirable
- One to three years' investment adviser guideline compliance experience
- Broad knowledge of fixed income and equity securities required; experience with municipal bonds a plus
- Prior experience with foreign exchange contracts and other derivatives a plus
- Detail oriented with strong organisational skills
- Strong written and oral communication skills
This international Investment Management firm is headquartered in America but looking to further grow worldwide. By joining this company and team, you will be on the forefront of establishing and growing a company into Singapore.
If you are driven and skilled, and want to further sharpen your compliance skills, this is the role for you.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1879576 Sabrina Yap