Manager/Assistant Director Investment Compliance

LMA Recruitment is partnering with a leading global asset management firm on newly created opportunities within their Regional Governance & Controls team.

These roles sit within a growing regional function and offer the opportunity to work closely with investment teams across Asia, supporting governance, controls, and investment compliance initiatives while partnering with senior stakeholders across the business.

Why consider this opportunity

✔ Strong regional exposure across Asia markets

✔ High visibility and autonomy within the function

✔ Close partnership with Fund Managers and senior stakeholders

✔ Opportunity to broaden governance, controls, and investment compliance expertise

✔ Leadership and career progression opportunities within a growing team

Key responsibilities include:

• Investment compliance governance and controls
• Pre- and post-trade monitoring activities
• Investment guideline interpretation and rule assurance
• Aladdin coding and monitoring oversight
• Stakeholder management across Investments, Compliance, and Risk
• Process improvement and governance enhancement initiatives

Assistant Director

• Strong investment compliance and Aladdin coding experience
• Proven stakeholder management skills
• Experience partnering with Fund Managers and regional stakeholders
• Governance framework and SOP enhancement experience would be advantageous
• Prior leadership experience is a plus

Manager

• Experience in investment compliance monitoring
• Exposure to pre- and post-trade compliance activities
• Some Aladdin coding experience
• Strong learning mindset and ability to thrive in a regional environment

Open to candidates from asset management or other buy-side investment compliance backgrounds.

If you would be interested in learning more, feel free to reach out for a confidential discussion.

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