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

Administer the Personal Dealing Standard / policy, including review of broker account statements and monthly personal trading transactions. Investigate any Personal Dealing breaches. Perform, or support, the role of Personal Dealing monitoring tool system administrator. Annual Investment Compliance Plan

Perform or carry out monitoring and assurance activities of clients based on the annual Investment Compliance Plan. Ensure all monitoring activities performed are documented and supported. Ad-hoc Activities

Participate in ad-hoc team projects related to Investment Risk and Compliance reporting, initiatives and projects. Job Requirements

Degree holder in Accounting, Finance, Economics or Business Management with a minimum of 10 years’ experience in investment compliance or related field. Solid understanding of financial instruments, especially derivatives. Understanding of Private Equity Investments is an advantage. Strong knowledge of regulatory environment (MAS, UCITs, HK SFC, FATCA, etc.) preferred. Knowledge of investment compliance framework, processes and systems. Strong presentation and reporting skills. Fluency in English; highly articulate and consultative approach. Technology savvy and detail oriented. Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives. You must provide all requested information, including Personal Data, to be considered for this career opportunity. Failure to provide such information may influence the processing and outcome of your application. You are responsible for ensuring that the information you submit is accurate and up-to-date.

#J-18808-Ljbffr