Guideline Monitoring Analyst (Investment Compliance) Guideline Monitoring Analyst (Investment  …

Wellington Management Company, LLP
in Hong Kong
Permanent, Full time
Last application, 20 Apr 21
Competitive
Wellington Management Company, LLP
in Hong Kong
Permanent, Full time
Last application, 20 Apr 21
Competitive
Guideline Monitoring Analyst (Investment Compliance)
WELLINGTON MANAGEMENT

Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 55 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.

POSITION

The Portfolio Guideline Monitoring Analyst will be part of the Investment Implementation team within the Investment Services & Technology group (InvesTech). InvesTech brings technology and operations together to deliver better, more efficient outcomes for our clients and business partners. In addition to Investment Implementation, InvesTech is comprised of the Infrastructure Design, InvesTech Operations, and Technology teams. The position can be based in either Hong Kong or Singapore depending on the candidate's current location.

Responsibilities
Primary responsibilities:
  • You will will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements.
  • You will be part of the team that i) Reviews Investment Management Agreements, evaluates client guidelines, and maintains the guideline monitoring system, Sentinel, ii) performs real-time, pre-trade support with investors, and iii) resolves post-trade incident exceptions generated from Sentinel.
  • Work collaboratively with other Guideline Monitoring colleagues as well as other internal teams, specifically our Global Relationship Teams, Product Management and Portfolio Management, to develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements.
Qualifications
The successful candidate for this position is likely to:
  • Demonstrate a strong working knowledge of all investment types, including equity and fixed income products, and derivative instruments.
  • Prior experience monitoring investment guidelines, working in an investment compliance role, understanding regulatory requirements for 40 Act and UCITs funds, and coding investment restrictions into a vendor or proprietary compliance monitoring system, specifically Sentinel, would be advantageous.
  • Be self-confident, a self-starter, results driven, energetic, have an inquisitive mind, and be controls conscious.
  • Have strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team.
  • Have strong attention to detail and computer literacy (knowledge of Word, Excel, and similar tools).
SKILLS

JOB TITLE
Guideline Monitoring Analyst (Investment Compliance)

LOCATION
Hong Kong

As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law . If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMCANINQ@wellington.com .
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