APAC IC Officer
Core
Regional investment compliance monitoring and validation of pre/post-trade alerts to ensure adherence to regulatory frameworks and client mandates.
Role type
Investment Compliance Officer (IC)
Builds
Compliance monitoring outputs, audit trails, and regulatory adherence reports for APAC markets.
Domain
Asset Management / Financial Services / Investment Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Investment compliance monitoring, pre-trade alert validation, post-trade batch monitoring, root cause analysis, regulatory framework knowledge, investment restriction analysis, rule testing, audit trail maintenance, stakeholder collaboration
Preferred skills
Asset management processes, portfolio construction, trading activity, APAC regulatory environment, UCITS, alternative investments, compliance modules (Aladdin, CRIMS, Charles River, Bloomberg), Japanese language
Technologies
Aladdin, CRIMS, Charles River, Bloomberg
Responsibilities
Validate pre-trade alerts in order management systems; oversee and validate post-trade batch monitoring output; work with offshore and global teams on investment restriction workflows; analyse client mandates and regulatory requirements; participate in rule testing and validation; maintain accurate audit trails; respond to stakeholder queries; support process improvements and ad hoc compliance projects.
Seniority
Mid-level, hands-on IC