Lead Specialist, Investment Compliance Centre of Excellence (IC COE)

Overview

Lead Specialist, Investment Compliance Centre of Excellence (IC COE) — AIA Shared Services.

Responsible for ensuring compliance in the execution of investment activities.

Responsibilities

• Performing and coordinating daily post-trade investment compliance monitoring activities through relevant Bloomberg modules.
• Proficiency in guidelines interpretation, compliance rules coding, account review.
• Understanding of how daily post-trade investment compliance monitoring activities are performed through relevant Aladdin Compliance dashboard.
• Identify incorrectly coded rules and suggest how to interpret and correctly code the rules.
• Work in a fast-paced environment with strict deadlines.
• Understand pre-trade and post-trade compliance, implications of various categories of rule types, pre-trade and post-trade monitoring, and generation of reports.
• Develop and maintain second-line trade oversight and market abuse monitoring (equities and fixed income) via Bloomberg Transaction Cost Analysis module or other systems.
• Investigate and report breaches to ensure timely rectification.
• Prior experience of rule coding on Bloomberg and Aladdin (preferred).

Personal Dealing compliance monitoring

Annual Investment Compliance Plan

Ad-hoc Activities

Job Requirements

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