Responsibilities:

1. Trading & Portfolio Compliance: Conduct pre-trade, post-trade, and batch monitoring; review exceptions in a timely manner; investigate and escalate breaches; and provide consultative compliance support to equity, fixed income, and multi-asset teams.
2. Rule Building: Program and maintain logic-based operational and regulatory rules within the Charles River compliance system, partnering with investment staff to ensure accurate alignment with portfolio strategies.
3. Stakeholder Collaboration: Act as a local point of contact for investment personnel in Hong Kong, Singapore, and Australia, working alongside global teams in the UK and US.

Requirements:

1. Education & Experience: Bachelor’s degree with a minimum of 3 years of relevant investment compliance experience within the asset management industry.
2. Technical Knowledge: Strong understanding of securities instruments (fixed income is a must, familiarity with derivatives is expected) and knowledge of APAC regulatory frameworks. Prior experience with Charles River is preferred
3. Language: Strong communication skills with fluency in English and Chinese