Investment Compliance Monitoring Manager

We are partnering with a leading asset management firm to hire a Manager within their Investment Monitoring / Compliance function.

This role would suit someone with hands-on experience in pre- and post-trade compliance monitoring within an asset management or investment environment. You will work closely with investment and operational teams to ensure portfolios remain compliant with relevant investment guidelines and regulatory requirements.

Key Responsibilities

• Perform and oversee pre- and post-trade investment compliance monitoring
• Review investment guideline restrictions and investigate potential breaches or exceptions
• Support the interpretation, testing and implementation of investment compliance rules
• Assist with rule coding, testing and ongoing rule maintenance
• Monitor and escalate compliance issues and ensure appropriate remediation
• Support enhancements to investment monitoring processes, controls and documentation
• Work closely with Investment, Risk, Compliance and Operations stakeholders

Requirements

• Around 5+ years of relevant experience within asset management/investment management
• Hands-on experience in pre- and post-trade monitoring is essential

Company Reg No.: 201131609D | License No.: 24S2411 | Reg No: R22109164 | Valenzuela Alexandra Marie Tolentino