Senior Executive - Investment Monitoring
Salary Market Aligned
Consultant Sabrina Yap (R1879576)
Date posted 23 October 20192019-10-23 2019-11-22 financial-services Singapore SG SGD 5000 8000 8000 YEAR Robert Walters https://www.robertwalters.com.sg https://www.robertwalters.com.sg/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
An exciting new Senior Executive - Investment Monitoring job opportunity has just become available at a global asset management firm in their Singapore office. As they have just acquired a Thailand-based company, they are looking to integrate their current investment management system and processes into the new acquisition.
About the Senior Executive - Investment Monitoring Role:
In this business critical role, you will be playing a crucial part in the transition of the compliance monitoring system of the newly-acquired company in order to ensure that proper pre and post-trade mandate monitoring is performed so that the funds are in compliance with all regulatory and client requirements.
- Investment Monitoring – assist business owners in identifying and monitoring guideline compliance (including both regulatory and client mandated guidelines)
- Reporting – to provide timely management reports and escalation of guideline compliance issues and deal with audit/quality assurance/inspection queries/issues relating to investment monitoring function and regulatory compliance matters
- Interpret, translate and set up investment guidelines and restrictions in Charles River Compliance Module for new mandates/funds or revised investment guidelines/restrictions
- Perform detailed UAT testing on rule set-ups and ensure that the coded rule functions as intended
- Carry out quality assurance checks/reviews from time to time on the investment restrictions setup in Charles River and other investment guideline monitoring platforms
- Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restrictions
- Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes
- Perform review of manual rules monitoring
- Ensure that any investment breach (both passive and active) is properly followed up and reported including to client where required
- Provide timely compliance reports and certification to clients on a periodic basis
- Review the regular attestation received from delegates and escalates any guideline compliance issues to management
- Participate in ongoing due diligence on delegations related matters
- Perform other guideline compliance tasks which may be assigned from time to time by supervisor to discharge the team’s investment monitoring functions e.g. assist in new instrument approval process
To succeed in this Senior Executive - Investment Monitoring role, you must have a strong portfolio compliance or investment compliance background, with an understanding of investment guideline coding within investment monitoring systems.
- Graduate or post-graduate degree in business/accountancy/finance
- Minimum of five years of relevant financial regulatory compliance experience preferably in an asset management company
- Ability to read and write in Thai as the current migration requires validation of requirements from original documents that are in local Thai script
- Strong knowledge of MAS Code of CIS, Central Provident Board Investment Scheme and UCITS Investment restrictions and investment guidelines
- Candidates with Aladdin or any similar investment monitoring related system experience within a multinational fund management is preferred
- Effective interpersonal skills and ability to work with different stakeholders
- Maturity, commitment and drive
- Resilient in dealing with multiple initiatives and challenges
- Forward-looking mindset, independent judgement and robust analytical skill
This global asset management firm is a leading company with their foundation set in Asia. Operating in Asia for the last 25 years, this firm continues to offer innovative investment solutions with their 11 offices across APAC.
If you are driven, determined and open to an exciting opportunity, this Senior Executive - Investment Monitoring is the role for you.
Apply now to learn more about this opportunity.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1879576 Sabrina Yap