This is an independent role that reports into the Regional Director, Compliance, Asia. You will support the overall compliance program of PGI and will collaborate and support investment compliance monitoring, the Regional Director, Compliance Asia & the Global CCO.
This person will support the overall compliance program of PGI and will collaborate and support investment compliance monitoring, the Regional Director, Compliance Asia & the Global CCO . Work will include implementing and reviewing client and regulatory guidelines in the order management system, monitoring investment activity against these guidelines, and collaborating with Portfolio Managers and business partners to resolve. This role will also include the development, implementation and review of investment adviser compliance policies and procedures, development of desk procedures, and general administration of compliance tooling to support the firm's global compliance program. This person will also be assisting the Regional Director, Compliance Asia with monitoring and ensuring local regulatory requirements are being met within the region and undertake ad hoc projects from time to time.
The Ideal Candidate
You will have a graduate degree in Finance or related with total minimum 4 years of experience in a combination of audit and compliance roles within the financial industry. General compliance knowledge and experience gained from within the asset management industry is required. You must be meticulous, highly organized and have strong analytical skills. You must also have the ability to prioritize and allocate projects and workflow as needed and seek out and drive efficiencies in existing procedures. Experience with Ascendant Compliance Manager tool, SharePoint Online, Charles River Investment Management System (or other order management systems), and in financial technology and digital advice areas will be advantageous. Proficient Microsoft office skills are essential and good working knowledge of systems that are used to manage the trading function are ideal.