外資系運用会社 Investment Compliance
Act as a key Investment Compliance point of contact for investment personnel, Global Client Operations, relationship managers, Product, Legal, and Regulatory Compliance across Japan and Australia, particularly to work on new account onboarding and guideline amendments as follows:
・Work closely with Global Client Operations, Relationship Management, Product, Legal and Regulatory Compliance on the new account onboarding of Japanese Investment Trusts, Australian Unit Trusts and Asia－Pac domiciled client mandates.
・Closely monitor the new account pipeline and liaise with other Investment Compliance team members to ensure the account onboarding can be completed in a timely manner.
・Assist in facilitating the integration of new business into the investment compliance monitoring program for Asia－Pac clients which may be subject to complex investment restrictions and regulatory requirements, including fixed income, derivatives and legal regulations.
・Review investment restrictions in proposed new account/product documentation and guideline amendment language to ensure ability to code the compliance system as well as clarify intent, if needed.
・Collaborate with investment personnel to understand their perspective and the impact of investment guideline issues and interpretations on the investment process.
・Collaborate with investment personnel to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio.
・Preferably, possess technical skills to program logic－based rules in the Charles River compliance system in order to effectively monitor client and regulatory requirements and work closely with other rule coders based in HK, UK ＆ US.
・Work to improve the client experience with respect to the implementation of investment guidelines by advocating process enhancements internally and with Global Client Operations and Product. Responsible for pre－trade ＆ post－trade monitoring activities of investment guidelines in support of the Asia－Pac offices including but not limited to:
・Provide consultative compliance support to the Equity and Fixed Income investment business and support functions in Asia Pacific region. Act as a key point of contact for investment personnel in Australia for questions related to investment compliance matters during Asia－Pac trading hours.
・Review compliance exceptions in a timely manner/within established deadlines, providing subject matter expertise and communicating critical information to investment personnel （Portfolio Managers, Analysts, Traders and Investment ＆ Trading Solutions）.
・Report and escalate compliance breaches internally. Collaborate with investment personnel, Investment Operations, Global Client Operations, Legal and Risk to resolve compliance issue where appropriate.
・Handle due diligence questionnaires, regular reporting to internal stakeholders.
・Work closely with the Investment Compliance monitoring teams based in HK/UK/US.
・Native－level Japanese speaker
・Fluent in English both verbally and in writing
・Minimum of 3 years relevant investment compliance experience
・Solid experience in the investment management industry
・Good knowledge in Japan JITA rules
・Prior experience with trading/compliance systems, such as Charles River
・Solid knowledge of securities instruments, fixed income and derivatives is a must
・Ability to work under pressure and produce timely results independently
・Team worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
・Good analytical skills and ability to make critical, time sensitive decisions
・Strong communication skills
・Working hour flexibility
・Prior experience in dealing with investment personnel, including trading teams
・Knowledge of other regulatory jurisdictions （e.g. UCITS,1940 Act, etc.）
・Hands－on experience in coding investment guidelines using vendor compliance systems （such as Charles River）