Compliance Manager - Asset & Investment | Direct Hiring
Nezda Technologies Manila Full-time
Be part of one of the pioneering insurance companies in the Philippines as they continue to expand their Asset Management business across Asia.
Role: Compliance ManagerWork Set-up: Hybrid, 8X per month onsite at BGC on Day Sift Schedule
Job Description:
Role – The Compliance Manager will work closely with the Asia Asset Management (AAM) Investment Compliance team stationed at Hong Kong and Philippines and business partners across the Asia region as center of excellence. The role plays a critical part in supporting our investment management businesses by managing BAU monitoring, testing and surveillance
Skills/Capabilities –- Understand investment funds/management industry and knowledge of securities investments
- Strong analytical skills with high attention to detail
- Expertise in MS Excel, PowerPoint with Co-Pilot
- Logical mindset with understanding coding logics (e.g. AND, OR etc)
- 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
- Demonstrate critical thinking and problem-solving abilities
- Excellent organizational, interpersonal, and communication skills
Responsibilities –
Trade Desk Oversight Compliance- Supports the Asia Asset Management (AAM) Compliance and Trade Desks Oversight Compliance Program.
- Program components such as:
- Trade Desks Oversight (Philippines, Hong Kong, Singapore, Bermuda, Vietnam, Indonesia and Malaysia)
- Investment Guideline Coding and Monitoring (Coding / Post-trade)
- Trade Practices Testing/ Surveillance (e.g. Best Execution, Fair Allocation, Market Misconduct)
- Sanction monitoring and reporting
Process Improvement:
- Identify opportunities for process enhancements in existing surveillance procedures.
- Assist in implementing best practices and process improvements as needed.
- Create/ Enhance resources and procedural documents outlining processes and updated practices as needed.
- Enhance, execute, and maintain surveillance and oversight programs
- Identify enhancement opportunities in logics to increase the accuracy of results and reduce false alerts
Reporting and escalation:
- Communicate compliance issues and trends, prepare compliance reports to management committees
- Drive insights from data and testing results to provide reporting to management
- Support and coordinate efforts related to audits, reviews, examinations, and assist with regulatory filings
- Assist broader compliance team on projects as needed
- Degree in Business, Finance, Economics, or related field
- CFA (or similar) designation, Industry Exams & Courses are a plus
- Experience with Bloomberg AIM CMGR/ Aladdin or order management compliance system module is a plus
Our ClientsManila
Visa Compliance Manager | Travel & Tours
Makati City | On-site | Monday–Friday | Full-time
We are looking for an experienced and detail-oriented Visa Compliance Manager to lead and strengthen our visa compliance operations within a fast-paced...
Elevate Philippines Inc.Taguig, 12 km from Manila
Elevate is recruiting an Security and Compliance Manager to join our high-performing team.
The Security and Compliance Manager is a dedicated Governance, Risk, and Compliance (GRC) role responsible for maintaining the organization's security...
Nezda TechnologiesQuezon City, 10 km from Manila
Be part of one of the pioneering insurance companies in the Philippines as they continue to expand their Asset Management business across Asia.
Role: Compliance Manager
Work Set-up: Hybrid, 8X per month onsite at BGC on Day Sift Schedule
Job...