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Portfolio Compliance Lead Specialist/Manager

Job Seekers Singapore Compliance Financial Services - Fund Services

Job Summary

  • Singapore
  • Permanent
  • BBBH792996
  • Sep 13, 2021
  • Competitive
Job Description

Morgan McKinley is working with a global investment firm who are looking for a Portfolio Compliance Lead Specialist/Manager.

Job Description:

  • Reviewing, escalation and following through of overnight violations
  • Maintenance and update of breach records
  • Performing of alternative monitoring for restrictions
  • Ensuring compliance in respect to investment guidelines through Aladdin System
  • Overriding trade violations when required
  • Maintenance of broker rules in Aladdin
  • Provision of advise on the validity or pretrade alerts
  • Provision on workflow and process improvements
  • Assist in audits, regulators and client visits
  • Provide coaching and mentoring to junior staff
  • Stakeholder management

The Ideal Candidate:

  • Degree holder
  • 3 - 5 years experience in portfolio compliance or investment guideline monitoring role
  • Strong knowledge and understanding of regulations related to investment restrictions (UCITS, Code on CIS, CPF Investment Guidelines, UTMFChapter 7, MPF, US 1940 Act)
  • Knowledge on how and why violations are triggered and where to look for details and data to conduct an investigation
  • Strong understanding of investment management industry and its products
  • Good written and verbal communication
  • Meticulous with strong attention to detail

If you are keen on this exciting opportunity, kindly 'Apply Now' or email

Referrals are greatly appreciated.

Daryl Pravin Naidu

EA Licence No: 11C5502 | EAP Registration No: R2199043

Only shortlisted candidates will be responded to. If you do not receive a response within 14 days, please accept this as a notification that you have not been shortlisted.


Consultant Details

Consultant Details

Daryl Naidu
Daryl Naidu
  • Associate Consultant | Banking Operations Recruitment
  • +65 6818 3179