Manager - Portfolio Compliance Monitoring

Key Responsibilities
• Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts guidelines;• Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded;• Regular Rule maintenance on compliance system i.e. CRD;• Conduct Account Mapping / Review viz a viz applicable rule;• Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended;

• Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams;
  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules;• Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines;• Assist in resolving queries with regional compliance teams;• Assist with ongoing review of relevant processes and procedures to ensure best practice;• Assist in a range of FIL-wide projects or tasks;• Assist with ad-hoc compliance monitoring tasks, as required.

Experience and Qualifications Required
• Experience in Investment compliance guideline rule coding in Charles River is a must;• Good understanding of Charles River system workflows and parameters;• Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG;• Technology Savvy with experience in writing high quality, readable, reusable, testable code;• Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage;• Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements;• 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products;• Good instrument knowledge of equities, fixed income and derivatives;• Must have understanding of ESG guidelines and frameworks;• Be a strategic thinker, possess strong facilitation and data gathering skills;• Effective problem solver, attention to detail and ability to work to tight deadlines under pressure;• CFA or Bachelor of Business or Commerce preferred;• Business-level verbal and written English communication / presentation skills;• Positive team player as well as the ability to work on their own initiative;• Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.