Assistant Manager, Investment Compliance

  • Competitive salary
  • Singapore
  • Permanent, Full time
  • Lion Global Investors Ltd
  • 13 Feb 18 2018-02-13

To ensure all investments activities and trading are compliant with investment restrictions and guidelines.

Job Responsibilities

  • Monitoring and surveillance of investment guidelines including setting up & maintaining of rules and watch lists in the Bloomberg AIM and Compliance checklists
  • Performing advisory role and provide comments for new and existing mandates in terms of review and coding of investment guidelines
  • Perform pre and post trade monitoring of investment guidelines and follow up on breaches identified
  • Scheduled reporting to clients and trustee
  • Perform SSAE16 and Compliance manual checks controls
  • Conduct Investment Compliance presentations or trainings and liaise with Fund Managers/other departments where necessary
  • Handle other compliance duties and ad-hoc projects assigned


  • University Degree in accountancy or business
  • At least 3 to 4 years of working experience in a Compliance position within asset management or a financial institution
  • Prior experience in pre-trade and post-trade investment compliance within an asset management firm is an added advantage
  • Knowledge of MAS regulatory requirements (SFA/FAA)
  • Good communication and interpersonal skills
  • Team player