Job Description

AND RESPONSBILITIES

• Holistic ownership and understanding of client accounts, trade life cycle and act as a single point of contact for AMD business for any investment guideline issues or queries. Types of client accounts include institutional separately managed accounts, regulated mutual funds/pooled vehicles, ERISA pension plans, and unregistered private funds.
• Ability to understand and decipher into business logic from sources including investment management agreements (IMA), fund prospectuses and statement of additional information, Investment Policies, Pre-Contractual Obligations (PCDs) and other client investment restrictions including an ever-evolving landscape of Environmental, Social and Governance (“ESG”) client and regulatory requirements.
• Implement and maintain client and regulatory guideline rules on compliance platforms
• Liaison with Investment Teams to ensure understanding and adherence to investment guidelines
• Partner with various operations and technology engineering teams to improve data availability and quality, and improvements/modernization of existing processes.
• Collaboration with post-trade guidelines monitoring partners to provide advice and assistance in helping to resolve live guideline exceptions and issues, exceptions reduction, and manually monitored guidelines.
• Represent the team in client meetings for due diligence purposes
• Partner and liaise with client implementation teams to qualify new business, implement account events, and ensure the adequacy of account surveillance.
• Providing effective thought leadership in navigating evolving financial regulatory landscape and helping to develop technological solutions to build appropriate architecture.

BASIC QUALIFICATIONS

• Bachelor’s degree required
• Analyst level with around 2-4 years of professional experience in the financial services industry
• Knowledge of operational aspects of trade management or investment guidelines surveillance
• Be highly collaborative, team-oriented, and strong consensus builder
• Demonstrate ability to partner across product groups, regions, and functional responsibilities
• Possess strong communication and interpersonal skills both written and oral
• Flexibility to be available for occasional time-sensitive pre-trade support needed after hours prior to Asia market opening

PREFERRED QUALIFICATIONS

• Solid base understanding of equities, fixed income, bank loans, private credit, currencies, and derivative instruments
• Chartered Financial Analyst (CFA) / Financial Risk Manager (FRM) by GARP) / Chartered Institute for Securities & Investment (CISI) certifications will be a plus
• Strong Microsoft Excel skills
• Experience in coding and/or monitoring investment guidelines using systems such as Sentinel, Charles River, Aladdin, Bloomberg AIM will be an advantage
• Be a strategic thinker, possess strong facilitation and data gathering skills
• Effective problem solver, multi-tasking, attention to detail, and ability to work in a fast-paced environment with tight deadlines
• Risk management focus