Contractor, Portfolio Compliance

  • Not Specified
  • Singapore
  • Contract, Full time
  • Schroder Investment Management (Singapore) Ltd
  • 21 Nov 17 2017-11-21

Job Descriptions * Post trade monitoring + review of pretrade 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 + maintenance

Job Descriptions

  • Post trade monitoring
    • review of pretrade 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
    • maintenance of breach record
    • saving of email correspondences

  • Manual monitoring
    • various liquidity checks CPFIG credit rating checks
    • CPFIG interfunded (lookthrough) checks
    • monthly reports generation
    • MPFA exempted authority review (weekly)
    • KR Reg Broker Limit Report checks (daily)
    • TICF minimum 70% USD/HKD exposure reporting (daily)
    • China HY Bond: Min 25% hedge ratio reporting (daily)
    • minimum 60% China HY bond and China bond Fund reporting (daily)

  • 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

Essential Skills

  • Excellent verbal and written communication skills
  • Good interpersonal skills
  • Good client awareness
  • 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
  • Ability to prioritise own and others work
  • Good stakeholders management skills
  • Good time management skills.

Desirable Skills

  • At least 3-4 years of relevant experience in Compliance/Investment Risk are preferred.
  • 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