Job Description

Key Responsibilities

Lead and mentor a team responsible for

investment restriction control implementation

,

mandate onboarding

, and

query resolution

. Deliver and oversee

mandate investment guideline coding

, change impact assessments, and project activities while reviewing work of other team members. Manage

overnight violation monitoring processes

, ensuring timely escalation and resolution. Partner with

Investment Desks

,

Product Teams

, and

Client Executives

across all asset classes to provide advisory support on investment guideline compliance and pre-trade override processes. Oversee the processing and fulfillment of commitments sourced from

IMAs

,

regulatory documents

, and internal teams. Maintain and update

broker and ready-to-trade coding

in

Aladdin

, assisting

Trading Desks

with queries and escalations. Collaborate with global teams and external vendors to promote best practices, standardization, and an enhanced control environment. Resolve day-to-day operational queries, ensure delivery within agreed

SLAs

, and continuously maintain a robust control framework. Support

audit

,

regulatory

, and

client

queries, ensuring accurate and timely responses. Identify process gaps, troubleshoot errors, and provide communication/training to mitigate risks and implement process improvements. Stay updated on

industry regulations

(UCITS, SFDR/SDR, MAS, HK MPF) and participate in regulatory impact assessments. Lead or contribute to

projects and change initiatives

related to new markets, instruments, and mandates. Coach, mentor, and train junior team members; maintain up-to-date operational procedures and documentation. Support

departmental administration

and

BAU coverage

as needed to ensure seamless team operations.

Skills & Competencies

Proven experience in

Investment Restriction Compliance

,

Mandate Control Implementation

, and

Client Onboarding

within the Asset Management domain. Strong knowledge of

broker coordination

,

trading desk processes

, and

Aladdin (or equivalent platforms)

. Understanding of

regulatory compliance

frameworks: UCITS, SFDR/SDR, MAS, HK MPF, and other relevant investment regulations. Proficient in

MS Excel, Word, PowerPoint, SQL

, and

Microsoft 365 tools

. Excellent

policy-setting

,

risk assessment

, and

operational process optimization

skills. Ability to

analyze data

,

identify process enhancements

, and drive efficiency and risk reduction. Strong

stakeholder management

and

communication skills

, with experience influencing cross-functional teams.

What You'll Be Like

Excellent communicator with strong interpersonal and stakeholder engagement skills. Proactive, analytical thinker with a solution-oriented mindset. Highly organized and detail-focused, ensuring quality and accuracy in all deliverables. Open-minded, adaptable to change, and committed to continuous improvement. Self-motivated, collaborative, and driven to achieve team and organizational goals. Demonstrates professionalism, resilience, and a passion for operational excellence.

Preferred Qualifications

Bachelor's degree in Finance, Business, Economics, or a related discipline. 8+ years of experience in

Asset Management Operations

or

Investment Compliance

, including leadership experience. Experience working across

global markets (UK/APAC/US)

and familiarity with

multi-region regulatory environments

.
Skills

mandate control,Brocker and Trade desk coordination,Regulatory Compliance

Job Type: Full-time

Pay: ?400,000.00 - ?1,200,000.00 per year

Work Location: In person