Responsible for the design, implementation, and ongoing maintenance of portfolio management. In addition, they develop policies and procedures, monitor investment compliance, and oversee trading. Continuous pre- and post-trade compliance monitoring is KEY. Evaluating the efficiency of controls and improve them continuously revising procedures, reports, periodically to identify hidden risks or non-conformity issues.
- Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies.
- Evaluate the efficiency of controls and improve them continuously.
- Draft, modify and implement company policies.
- Collaborate with corporate counsels and HR departments to monitor the enforcement of standards and regulations.
- Assess the business’s future ventures to identify possible compliance risks.
- Review the work of colleagues when necessary to identify compliance issues and provide advice or training.
- Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
- Prepare reports for senior management and external regulatory bodies as appropriate.
- Demonstrates knowledge of ethical employment standards set out by the law and corporate regulations.
- Ensures a company’s policies and rules are in line with regulatory and ethical standards, regardless of whether the government or a company’s executive management establishes the standards.
- A graduate degree in Finance or BA in Law, Economics, business administration, or related field MBA is a plus.
- CFA designation or active status in the CFA program is a plus.
- Minimum of 8 years and above of general fixed income or compliance experience is desired.
- Proven experience as compliance Portfolio Manager
- In-depth knowledge of the industry’s standards and regulations
- Excellent knowledge of reporting procedures and record keeping
- A business acumen partnered with a dedication to legality
- Methodical and diligent with outstanding planning abilities.
- An analytical mind able to “see” the complexities of procedures and regulations
- Excellent communication skills.
- Certified compliance professional is a plus
- Possess strong analytical ability and excellent attention to detail.
- Problem solving and decision making skills are essential.
- Strong knowledge of MS Excel required (formulas and functions).
- Experience using MS Access, Business Objects, MS Excel.
How To Apply
Interested candidates should forward his CV to email@example.com using the job title as the subject of the mail.