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Responsible to conduct 2nd line Investment Compliance monitoring activities and report results to Group Investment Compliance and relevant Country Investment Compliance Leaders (CICLs); provide support on discharging applicable group-wide disclosure obligations; and perform trend analysis based on risk based quality assurance assessment procedures.

2nd line Investment Compliance Monitoring Activities

• Utilising centralised systems to further streamline implementation of group-wide investment policies, standards and procedures
• Performing and coordinating daily post trade investment compliance monitoring activities through relevant Bloomberg modules
• Establishing, updating and gathering appropriate post-trade and other relevant investment compliance indicators
• Review rules coded to ensure consistency, accuracy and completeness
• Develop and maintain second line trade oversight and market abuse monitoring (equities and fixed income) via Bloomberg Transaction Cost Analysis module.
• Monitor disclosure of interest alerts via an automated tool and report to Group Investment Compliance and CICLs.

Trend Analysis and Reporting

• Provide investment compliance monitoring results to Group Investment Compliance and relevant CICLs, taking into account the peculiar local circumstances of Local Business Units (LBUs) and Asset Management Companies (AMCs).
• Perform trend analysis across the relevant LBUs and AMCs, and provide results to Group Investment Compliance with appropriate indicators to be updated from time to time.
• Investigate and report breaches to ensure timely reflection.

Ad-hoc projects

• Participate in ad-hoc team projects related to Investment Compliance initiatives and projects.

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