Reporting to the Investment Compliance Manager, you will provide support to the daily monitoring program (e.g. fair allocation, best execution, timely execution and market abuse) but your role will evolve as the VP Compliance assesses the existing program and further develops the compliance monitoring plan.

The Value You Deliver:

  • Monitor compliance with internal policies and procedures, operational practices and investment compliance guidelines, ensuring proper control activities and framework are in place and procedures are followed.
  • Conduct daily oversight activities to ensure timely review and escalation of issues
  • Obtain and filter relevant trading data and compliance reports from trading systems and data warehouses for daily compliance monitoring analysis.
  • Review and investigate trading exceptions on a daily basis, including best execution, timely and fair allocation, timely execution, market abuse and other conflicts.
  • Maintain a database to record monitoring issues.
  • Maintain the trade error database and ensure that that the trade error process works effectively.
  • Work with investment compliance colleagues and management to resolve issues in a timely fashion and effectively communicate with trading, portfolio management, senior management and others where applicable
  • Develop presentations for oversight committees or senior management as required
  • Liaising with Investment Compliance colleagues in the United Kingdom and Hong Kong.


  • Bachelor’s degree in finance, accounting, or economics or relevant job experience preferred.
  • Minimum of 5 years of experience in financial services in the area of investment compliance.

The Skills You Bring:

  • Very good knowledge of equity markets and dealing environments.
  • Proficiency in MS Office (especially with Excel and Access).
  • Experience with Charles River compliance software would be an asset.
  • Experience in analysing and manipulating large sets of systems data would be an asset.
  • Desire to solve problems using your analytical and critical thinking skills.
  • Ability to work in a fast paced environment with strong attention to detail.
  • Highly developed multi-tasking and scheduling skills.
  • Excellent communication skills translate into positive relationships with traders.

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