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Job Description:

Role – The Compliance Manager will work closely with the Asia Investment Management (AIM) Compliance team and business partners in Hong Kong and the Philippines. The role plays a critical part in supporting our investment management businesses by monitoring and analyzing electronic communications to ensure compliance with regulatory standards and internal policies. The analyst will work collaboratively with various team to identify potential breaches and enhance surveillance capabilities.  

Skills/Capabilities –

• Understanding of asset management industry and key concepts including code of ethics, insider trading, anti-bribery and corruption, market manipulation, etc.
• Strong analytical skills with high attention to detail
• Expertise in MS Excel or any other logic/coding building
• Expertise in understanding text & logical search logics (e.g. Wildcard, AND, OR, IF, etc) is a plus
• Ability to identify risk and offer alternatives and solutions in managing issues identified
• Ability to learn via remote trainings and effectively able to deliver the same
• Decision making ability supported by data and reason
• Demonstrate critical thinking and problem-solving abilities
• Excellent organizational, interpersonal, and communication skills

Responsibilities – E-communication surveillance

• Surveillance monitoring:
  • Lead and run email surveillance program, identify potential red flags, and adjust policies and search phrases as needed
  • Conduct ongoing surveillance of employee electronic communications using automated tools to detect potential regulatory, procedural , or fiduciary infractions
• Reporting and escalation:
  • Identify positive alerts generated from surveillance systems, documenting findings and recommendations in a timely manner.
  • Work closely with AIM Compliance to appropriately escalate issues and ensure effective communication regarding compliance matters
  • Measure, track and analyze, and report statistical data related to communications surveillance.
  • Create weekly and quarterly metrics report for the AIM Compliance team
• Process Improvement:
  • Identify opportunities for process enhancements in existing surveillance procedures.
  • Assist in implementing best practices and process improvements as needed.
  • Create resources and procedural documents outlining processes and updated practices as needed.
  • Create, run, and maintain surveillance and oversight programs
  • Identify enhancement opportunities in text search logics to increase the accuracy of results and reduce false alerts

• Assist broader compliance team on projects as needed

Education and Experience

• Degree in Commerce/ Linguistic or similar / related field
• Familiarity with e-communications surveillance software is a plus
• Sound knowledge in MS Office Suite and Adobe Acrobat

Job Category:

Investments

Posting End Date:

08/12/2024