Overview

As an independent party, Guideline monitoring team mainly focuses on monitoring (1) Client guidelines, (2) Rules imposed by regulatory bodies, and (3) Internal rule and trade process. Set up common operating process for guideline monitoring cooperating with colleagues globally. Continuously inspire team members taking strong leadership as the team head so that they can contribute to the company. Work within Compliance Department

Key responsibilities

• Team / people management.
• Project management.
• Set up stable and robust monitoring processes.
• Complete ad-hoc monitoring requirements as directed.
• Carry out periodic reviews of all regulatory, client or product requirements for monitoring and update systems or programs accordingly.
• Challenge and seek resolution of potential issues when dealing with colleagues at all levels.
• Review Investment Management Agreements (IMA) to extract guideline rules. Record in a template verbatim.
• Maintain and update system and templates for new, amended, or terminated accounts.
• Analyze and interpret rules.
• Determine appropriate restriction structure and data attribute requirement for appropriate monitoring.
• Liaison with, and gain agreement of interpretation from appropriate areas - Client Relations Officers (CRO), Portfolio Managers (PM) etc.
• Codify rule into guideline system.
• Identify risks / issues with any guideline or system functionality.
• Test and ensure appropriate coding and system functionality within guideline system.
• Determine suitable guideline monitoring processes for guidelines that cannot be automated.
• Develop or assist in the development of non automated guideline monitoring programs.
• Perform non automated guideline monitoring according to determined programs and when required.
•  * Review and manage exceptions generated from automated systems or alternate monitoring processes.

Skills and Experience Desired

(Knowledge)

• Exposure to Investment strategy
• Exposure to Portfolio management
• Exposure to Regulations regarding investment

(Skills)

• People Management and strong leadership
• Project Management
• Experience in Data management.
• Strong Communication skills
• Strong Excel skills
• MS-Word and Power point