投資コンプライアンスオフィサー/ Investment Compliance Officer

An international asset management company is seeking an Investment Compliance Officer, APAC at Associate level. The selected candidate will monitor investment restrictions, validate pre- and post-trade alerts, analyse regulatory requirements, investigate compliance exceptions, and collaborate with investment, trading, and global compliance teams. This is a hybrid setup role.

Responsibilities:

• Validate pre-trade alerts in order management systems, providing effective second line challenge and documenting analysis and outcomes
• Oversee and validate post-trade batch monitoring output, including assessing alerts, conducting root cause analysis, and documenting compliance exceptions
• Work with offshore and global Investment Compliance teams to support investment restriction workflows and effective handoffs
• Analyse client mandates, prospectuses, and regulatory requirements to identify investment restrictions
• Participate in rule testing and validation activities to ensure outputs align with defined requirements
• Maintain accurate audit trails for rule interpretation, monitoring outcomes, compliance exceptions, and breach investigations
• Respond to queries from investment, trading, and other stakeholders in a clear and timely manner
• Collaborate with regional and global teams to support consistent application of investment compliance standards
• Support communication and coordination across the APAC region and time zones, including Japan and Australia

Requirements:

• 2-4 years of experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function, ideally within asset management or another regulated financial services environment
• Experience with investment compliance monitoring
• Experience working with investment or trading teams
• Understanding of investment management processes, portfolio construction, and trading activity
• Good understanding of the asset management industry, regulatory environment, and investment products and strategies across the APAC region
• Knowledge of investment products and strategies, including regulated retail funds, MPF, UCITS, index-tracking strategies, segregated mandates, and alternative investments
• Strong understanding of regulatory frameworks and investment restrictions across jurisdictions, including UCITS and relevant APAC regulatory requirements
• Experience with compliance modules in order management or compliance monitoring systems such as Aladdin, CRIMS, Charles River, Bloomberg, or equivalent platforms
• Ability to build effective working relationships with investment, trading, and other stakeholders
• Proficient in English and Japanese

About the Company:

The company operates in the global asset management industry and provides investment management services across a broad range of asset classes and investment strategies. Its operations span global and regional teams across multiple markets.

Keywords:

投資コンプライアンス, 資産運用, コンプライアンスモニタリング, 投資規制, 金融規制, リスク管理, ポートフォリオ管理, トレード監視, APAC, 規制対応, 求人, 外資系

Job Ref: 1NGXK8