The Asia Pacific Investment Compliance (APIC) function provides investment compliance and advisory support to investments professionals located in the Asia Pacific region. Coverage includes equity, fixed income and derivative instruments used in retail funds and institutional client accounts, within FIL's global as well as domestic fund ranges. APIC interacts closely with the fund managers, research analysts, traders and investment operations personnel. In addition, there is ongoing liaison with Investment Compliance colleagues in the region as well as globally across the FIL.
Purpose of your role
Assist in conducting independent compliance monitoring activities across FIL's investment management activities to obtain reasonable assurance that the relevant internal policies and procedures and applicable laws and regulation are adhered to.
- Monitors FIL's trading and other investment activities and investigates exceptions and incidents which include, but not limited to, best execution, fair allocation, market misconduct, information barriers, conflicts of interest and so forth.
- Ensures adequate controls are in place to assure compliance with various regulations and internal policies.
- Provide assistance in reviewing, modifying and implementing compliance procedures and controls to enhance monitoring and operational effectiveness.
- Investigating, analysing and providing resolution to breaches and investment processes.
- Build strong relationships across the business in order to carry out your monitoring duties effectively.
- Keeping up to date on regulatory developments and upcoming changes in regulatory and market practices.
- Produces metrics for senior management information.
- Participates and contributes positively in various business initiatives and ad-hoc projects.
- Foster a cohesive, creative, and efficient working environment within the team in which people can do their best work.
Experience and Qualifications Required
- 1-3 years' of work experience in financial services, with a keen interest in investment management and trading activities. Qualified lawyer, accountant or financial analyst (CA, CFA or equivalent qualification preferred).
- Strong communication and inter-personal skills. This role must be able to work with team members and internal stakeholders across various levels and in different offices/ locations. The candidate will be required to be professional, confident, confidential and discreet.
- Deep understanding of a variety of concepts, practices, and procedures related to investment management activities. A wide degree of creativity and latitude is also expected.
- Strong eye for detail with the ability to produce accurate, well-structured reports according to deadlines. Strong analytical skills, problem-solving ability and attention to detail.
- Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.
- Enjoys working in a dynamic environment for investments and trading activities Flexible and enthusiastic approach and attitude.
- Strong systems/PC skills to include basic programming skills and use of data extraction/analysis tools (e.g. Excel, Access, Business Object, Oracle).
- Fluent, excellent English (both verbal and written), with experience in reports and business writing. Chinese (Cantonese and Putonghua) language skills would be an asset.