Investment Monitoring Analyst

An exciting Investment Monitoring Analyst position has just become available at a renowned international investment management firm based in Kuala Lumpur.

Key Areas:

1. Investment Compliance: Support business owners in anticipating, advising on, and monitoring investment compliance limits and restrictions set by regulations or clients.
2. Reporting: Deliver timely analysis and reports, escalate exceptions, and handle audit, quality assurance, and inspection queries related to investment and regulatory compliance.
3. Monitoring: Conduct ongoing monitoring and review of new and updated regulations and client mandates related to investment compliance across Singapore, Malaysia, Indonesia, Thailand, China, Hong Kong, Taiwan, Korea, Japan.

What you'll do:

• Perform daily pre- and post-trade Investment Compliance monitoring by independently investigating and analysing alerts triggered during order creation, execution, and post-trade. Resolve compliance violations within a 5 to 15 minute turnaround for pre-trade incidents, and for post-trade breaches of investment guidelines, ensure timely notification, follow-up, and rectification with portfolio managers, and clients where required.
• Review daily pre-trade audit files by generating violation records from the system and reviewing related comments.
• Provide proactive investment compliance advice to portfolio managers before order placement.
• Work with Trustees and Custodians to ensure fund compliance by reviewing reported breaches, reconciling them with system records, and responding to inquiries.
• Provide guidance to fund managers and internal stakeholders on interpreting relevant investment guidelines and restrictions.
• Enhance the effectiveness and efficiency of investment guideline monitoring through process optimisation, technology, and automation.
• Review manual control rule monitoring for off-system checks where guidelines cannot be fully tracked through coded rules.
• Calculate derivatives exposure by applying manual netting and offsets against underlying assets in line with regulatory requirements and report the results to portfolio managers.
• Prepare and deliver timely compliance reports and certifications to clients and internal stakeholders on a monthly, quarterly, or annual basis, detailing detected breaches, generating reports from the system, and removing rules unrelated to fund or regulatory guidelines.
• Execute daily and monthly manual tasks for the Securities Lending Program on SICAVs, using data from the lending agent to verify adherence to parameters such as lending limits, issuer exposure on collateral, counterpart exposure, approved borrowers, and ownership limits.
• Collaborate with the Head Office team to ensure process alignment and drive process improvements.
• Review completeness of Aladdin-coded rules by matching them against fund or regulatory guidelines to ensure accurate coding and proper documentation.
• Review regular attestations from delegates and escalate any guideline compliance issues to management.
• Maintain and update various system lists on a daily and ad-hoc basis, reconciling records with client lists to ensure completeness.

What you'll bring:

• Graduate or postgraduate degree in Business, Accountancy, or Finance.
• At least 5 years of experience in investment compliance functions.
• Proficient in the full suite of BlackRock Aladdin Compliance modules, including workbench and violations dashboard.
• Capable of independently interpreting regulations and client mandates with accuracy.
• Strong knowledge of Aladdin BQL and investment compliance logic.
• Extensive expertise in MAS, CCIS, CPFIG, UCITS, and/or local regulations for Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea, and Japan.
• Solid understanding of investment management workflows and processes.

What's next:

If you're ready to take your career to the next level through this Investment Monitoring Analyst role, apply today!

Apply today by clicking on the link!

Do note that we will only be in touch if your application is shortlisted.

Licence Number : JTKSM 423C