Investment Compliance(Investment Management)

About Our Client

Our client is a leading global investment management firm with a strong presence across major financial markets. This organization provides investment solutions and services to a diverse client base, including institutions and individual investors.

Job Description

• Ensure all activities within the Indonesian office comply with regulatory requirements related to Investment Compliance and other relevant obligations.
• Develop, implement, and maintain policies, procedures, and controls to align with applicable laws, regulations, and internal standards.
• Provide guidance, advice, and training to staff on Investment Compliance topics.
• Oversee the coding and monitoring of investment guidelines, handle pre-trade alerts, and resolve them appropriately.
• Manage breaches (both active and passive), ensuring timely resolution while contributing to cross-regional compliance efforts.
• Conduct compliance monitoring in areas such as best execution, market abuse, cross-trades, and fair allocations.
• Investigate and escalate complex breaches, trade errors, and market abuse cases, supporting resolution and corrective actions.
• Perform outsourcing control activities within the Investment Compliance scope, as needed.
• Lead or participate in internal compliance reviews and audits.
• Prepare and deliver compliance reports to senior management and external clients, both on a regular and ad-hoc basis.
• Support audit, review, and examination processes as directed.
• Monitor and analyze new regulatory developments, assessing their impact on business operations.
• Foster a culture of compliance through training and continuous improvement initiatives.
• Build strong relationships with local investment teams to integrate compliance effectively into operations.

The Successful Applicant

• Bachelor's degree in law, business management, or a related field.
• Over six years of experience in the financial industry, particularly in asset management, focusing on governance functions such as Legal & Compliance, Risk Management, or Internal Audit, with a strong emphasis on portfolio management and trading compliance (e.g., best execution, market abuse, and investment guidelines).
• Solid understanding of financial services and asset management industry challenges, paired with in-depth knowledge of operational and regulatory compliance frameworks.
• Proficiency in Bloomberg and experience with investment guideline coding.
• Strong knowledge of financial instruments, derivatives, and investment strategies.
• Familiarity with interpreting regulations, applying them in practice, and leveraging lessons learned from regulatory sanctions.
• Excellent verbal and written communication skills in English.
• Proven ability to work proactively, manage pressure, and meet deadlines effectively.
• Strong interpersonal skills, with the ability to build relationships across the organization and externally, fostering a culture of compliance.
• Flexibility to adapt to dynamic environments, grasp complex issues quickly, and provide clear, practical solutions.
• WMI License.

What's on Offer

• Compensation Benefits
• Regional exposure