Contractor, Portfolio Compliance

  • Not Specified
  • Hong Kong
  • Contract, Full time
  • Schroder Investment Management (Hong Kong) Ltd
  • 15 Jan 18 2018-01-15

This role is to provide support to the Portfolio Compliance Team.

As part of the Portfolio Compliance team, you will be involved in the following:

  • Post trade monitoring
  • Review of pre trade violation report
  • Drafting and sending of email notifications
  • Review of batch report where possible, depending on the person's level of experience 
  • Data exceptions review and working with Data/IT to resolve and maintenance
  • Manual monitoring which involves various liquidity checks such as CPFIG credit rating, CPFIG interfunded, monthly reports generation, MPFA exempted authority review, KR Reg Broker Limit Report checks
  • Track and compare investment guidelines changes
  • Populate investment restrictions in Group
  • Coding Control Spreadsheet for coding purposes
  • Coding of broker rules
  • Other admin matters, eg.filing
  • Periodic/adhoc compliance certification

To be successful in this role, you will need to possess the following requisites:

  • At least 3-4 years of relevant experience in Compliance/Investment Risk
  • Understanding and interpretation of investment guidelines
  • Able to conduct meaningful investigation of breaches and communicate succinctly to stakeholders.
  • Good PC skills including MS Excel and MS Word
  • Excellent verbal and written communication skills
  • Proactive problem solving skills and a good attention to detail
  • Strong prioritisation and organisational skills
  • Strong team player but with ability to work independently within specified deadlines