Investment Control Manager

Job Description

Job summary:

The purpose of this role is to monitor compliance to investment guidelines and perform pre-trade, post-trade controls for all APAC mandates. Additionally, the role holder will also provide perform, provide oversight of trading processes and provide assurance that trading processes fall within the firm’s definition of best execution and in line with group polices.

Job description:

Reporting to the head of investment control APAC, the investment control manager is expected to support the following activities:

• Daily review of exceptions highlighted by the guideline checking system’s overnight batch reports including timely follow up of exceptions, liaising with fund management on breaches, sending relevant client reporting to internal/external stakeholders and confirmation of any necessary remedial action.
• Manage complex funds take on ensuring correct coding and application of investment/regulatory/client guidelines
• Development and implementation of a pre trade and post trade control environment (i.e automation of monitoring checks, processes, etc due to limitations) that supports investment activity across several geographic regions and regulatory regimes.
• Review and implementation of an assurance program covering the trading activity of the company to help demonstrate compliance with best execution standards set by the firm and regulators.
• Support and provide independent, clear and proactive communication of the control environment and compliance by the investment teams, to client teams, regulators, boards and to internal committees and stakeholders.
• Works with key stakeholders to ensure appropriate escalation and resolution of fund mandate limit breaches
• Review relevant governance policies

Job requirements:

• Bachelor’s degree or equivalent in Economics or Finance
• Minimum ten year’s work experience in the asset management industry
• Advanced knowledge of financial instruments and analytics (i.e equities, bonds, FX and derivatives)
• Coding/querying/SQL skills and preferably with AI skills
• Ability to multitask, work in a demanding, fast paced environment and handle multiple, competing priorities with high quality output
• A confident communicator (written and verbal) and possess strong influencing skills
• Highly motivated self-starter, demonstrating consistency in performance and ability to work collaboratively and independently
• Experience with Charles River Investment Management System
• Strong leadership skills
• Client focus

We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense – this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.