Our client, a leading global investment management firm, is seeking an experienced Investment Compliance professional to join their Asia Pacific (AP) team. The team supports investment activities across research, portfolio management, trading, pricing, and cross-border operations, working closely with global Compliance and Legal functions.
Role Overview
- Execute the regional investment compliance program covering advisory, training, monitoring, and reporting.
- Support pre- and post-trade compliance activities, including cross-trades, market abuse, best execution, and guideline monitoring.
- Create, implement, and maintain policies, procedures, and controls aligned with regulatory requirements and global standards.
- Analyse and escalate complex trade errors, market abuse alerts, and conduct investigations.
- Collaborate with global teams across Europe and the U.S., and partner with investment professionals across AP.
Key Responsibilities
- Conduct monitoring on best execution, insider dealing, cross-trades, allocations, and market abuse.
- Review pre-trade requests (cross trades, order cancellations/modifications, day trading).
- Support guideline coding, pre-trade alerts, and post-trade breach analysis.
- Prepare clear compliance reporting for senior management and external clients.
- Review regulatory developments and advise the business on implications and required actions.
- Provide guidance and training, fostering a strong compliance culture.
- Participate in audits, regulatory reviews, and internal compliance assessments.
Requirements
- Degree in Law, Business, or related field.
- 7+ years of experience in asset management, compliance, risk, or internal audit (portfolio management & trading compliance focus).
- Strong knowledge of financial instruments, derivatives, investment strategies, and regulatory frameworks.
- Experience with Bloomberg; guideline coding exposure preferred.
- Strong communication skills in English (Bahasa is a plus).
- Ability to work under pressure, manage deadlines, and adapt to a fast-changing environment.
- Comfortable working in a global, multicultural matrix organization; occasional travel to Jakarta required.
