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Senior Analyst, Investment Compliance – APAC
T. Rowe Price UK. Review pre-trade, post-trade, and batch investment guideline compliance monitoring for Asia Pacific offices .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in investment compliance monitoring and reporting, with a strong focus on regulatory requirements and risk management across the Asia Pacific region. Proficient in utilizing Charles River for compliance rule maintenance and operational logic programming.
Highest-signal resume keywords
Investment Compliance ExperienceCharles River ProficiencyKnowledge of Securities InstrumentsAnalytical SkillsBilingual in English and Chinese
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Investment Compliance MonitoringRegulatory Rules ProgrammingRisk IdentificationCompliance ReportingSecurities Instruments KnowledgeFixed Income ExpertiseDerivative Instruments FamiliarityCompliance Exception InvestigationClient Compliance CertificationsProcess Improvement Review
Soft Skills
Strong Communication SkillsRelationship BuildingAdaptabilityAnalytical ThinkingDecision Making
Tools & Technologies
Charles RiverTrading Systems
Industry Keywords
MPFUCITS1940 ActJapan JITAInvestment Management Industry
About the role
Key responsibilities & impact- Review pre-trade, post-trade, and batch investment guideline compliance monitoring for Asia Pacific offices
- Review compliance exceptions within established deadlines and communicate critical information to stakeholders
- Investigate, report, and escalate compliance breaches; track updates until resolution
- Collaborate with investment personnel, Investment Operations, Global Client Operations, Legal, Risk, and other stakeholders to resolve compliance issues
- Provide consultative compliance support to Equity, Fixed Income, and Multi-Asset investment businesses and support functions across Asia Pacific
- Serve as a local contact for investment compliance questions in Hong Kong, Singapore, and Australia
- Review processes to identify risks and potential improvements
- Work with compliance monitoring teams in the UK and US
- Provide regular reporting to internal stakeholders
- Complete manual monitoring and client compliance certifications
- Maintain investment compliance rules in Charles River for the Asia Pacific region
- Program logic-based operational, client, and regulatory rules in Charles River
- Collaborate with investment staff to align rule coding with client/regulatory requirements and portfolio investment strategies
- Evaluate compliance system functionality and data elements for capturing restrictions
- Manage projects assigned by Investment Compliance leadership
Requirements
What you’ll need- Bachelor's degree or the equivalent combination of education and relevant experience
- Minimum of 3 years relevant investment compliance experience
- Solid experience in the investment management industry
- Prior experience dealing with investment personnel, including trading teams, is a plus
- Knowledge of MPF, UCITS, 1940 Act, Japan JITA, and other Asian jurisdictions is a plus
- Prior experience with trading/compliance systems such as Charles River preferred
- Solid knowledge of securities instruments; fixed income is required
- Familiarity with derivative instruments
- Ability to adapt and thrive in a dynamic environment with evolving priorities
- Ability to build working relationships and interact with diverse internal and external contacts
- Good analytical skills and ability to make critical, time-sensitive decisions
- Strong communication skills
- Good command of spoken and written English and Chinese
- Working hour flexibility
Benefits
Comp & perks- Compensation, benefits, and flexibility to enrich your life
- Opportunities to create real impact at work and in the community
- Resources to support your career path
- Collaborative and inclusive culture
- Equal opportunity and fair, consistent treatment