Manager, Investment Compliance & Risk recruitment

1. External Fund Management Monitoring

Conduct review on existing external fund managers to identify any risks and concerns in accordance with the External Fund Managers Review framework.
Conduct on-site due diligence review on the external fund managers.
Monitor and review reports submit by the external fund manager in accordance with the Investment Management Agreement.
Maintenance of Investment Management Agreements and liaise with key stakeholders on any amendments of the agreement.
Review the report e.g. SAS70, BCP report etc. and ensure that all issues are escalated.

2. Investment Code of Conduct Monitoring

Perform review on staff personal dealing for compliance with the Investment Code of Conduct.
Perform review and maintain Chinese Walls restrictions.

3. Review of Fund Information

Fund Review monthly funds fact sheet, semi-annual and annual fund report to ensure accuracy of information compiled by the team and compliance with applicable regulations.

4. Operational Risk Monitoring

Ad-hoc review of processes and controls to ensure that they remain adequate and effective.
Maintain the Investment and Investment Operations risk register and ensure that all actions have been followed-up promptly.

5. Documentation

Update investment compliance and risk manuals and other key control documents to ensure they adequately reflect legislative requirements, current industry standards, and changes in business structure and activities.

6. Reporting

Escalate all non-compliance and risk matters to the Head of Investment Compliance and Risk.
Assist the Head to provide MIS for the various committee meetings and any othr ad-hoc reporting.

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