Senior Investment Guideline Compliance

Job Description
Summary
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Senior role with broad exposure across the business
Competitive salary package with good career prospects

About Our Client

Our client is a market-leading global investment management business with an established presence in Japan. They provide a comprehensive range of investment solutions across multiple asset classes to their institutional and retail investors.

Job Description

Work with colleagues in Japan and various locations to ensure the delivery of monitoring activities
Use proprietary and market-leading tools to perform monitoring of trading and other investment activities and investigate exceptions and incidents
Investigate and assess matters escalated to the Investment Compliance team
Assist with thematic reviews, desktop reviews and projects, as required
Coordinate and collaborate with internal teams to respond to requests and queries from internal as well as external sources (e.g. trustees, auditors, regulators)
Work with delivery teams to develop and maintain management information reporting, metrics and dashboards
Support colleagues in providing advice to investment professionals on day to day compliance-related matters

The Successful Applicant

8+ years of compliance experience within the financial services industry
Experience in investment compliance monitoring preferred, although control testing or other relevant experience can be considered
Firm understanding of concepts and practices relating to asset management
Highly motivated individual with strong analytical capabilities and proven experience in generating insights from complex data sets
Oral and written fluency in Japanese and English
Highly motivated, able to think logically, critically & quickly
Excellent communication and inter-personal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables