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Investment Compliance Officer

  • Location:


  • Sector:

    Risk & Compliance

  • Job type:


  • Salary:


  • Contact:

    Leonard Lim

  • Contact email:

  • Job ref:


  • Published:

    23 dagen geleden

  • Expiry date:


  • Startdate:


Investment Compliance Senior Executive

Our Client is a leading global asset management firm. They manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles.

The Investment Compliance Executive will support trade surveillance matters for Hong Kong and also provide regional coverage for other offices in APAC. This position will be based in Singapore.

Primary Job Scope:

  • Assisting in all aspects of the firm's investment compliance programs and initiatives
  • Providing regional coordination and support in relation to adhoc investment compliance projects in APAC
  • Participating in joint initiatives between regulatory and investment compliance teams in across the region in APAC and globally
  • Providing trade surveillance support including managing daily monitoring and reporting of all ongoing and adhoc events.
  • Performing forensic analysis on investment errors and breaches and administer resolution protocols.


  • 5+ years of experience in compliance and/or audit in financial services with primarily exposure to asset management.
  • Degree in either a finance/accounting/law discipline.
  • Ability to work under pressure with good organization and time management skills.

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