Portfolio Compliance Manager, Investment Risk

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Schroder Investment Management (Hong Kong) Ltd
  • 12 Jul 18 2018-07-12

As the Portfolio Compliance Manager at Schroders, you will act as an advisor to business on investment compliance related matters. You will ensure all investment guidelines are recorded and portfolio accounts adhere to the investment guidelines, and any deviations timely detected. You will be based in Hong Kong and cover the North Asia portfolio which includes Hong Kong, China and Taiwan. You will also be expected to manage a team of 1-2 Portfolio Compliance Managers.

Overview of role

As the Portfolio Compliance Manager at Schroders, you will act as an advisor to business on investment compliance related matters. You will ensure all investment guidelines are recorded and portfolio accounts adhere to the investment guidelines, and any deviations timely detected. You will be based in Hong Kong and cover the North Asia portfolio which includes Hong Kong, China and Taiwan. You will also be expected to manage a team of 1-2 Portfolio Compliance Managers.


Key responsibilities include:

  • Provide investment compliance advisory services and support to the business units, by responding to business units’ queries (including pre trade clearance, background research); and advise the business units on investment compliance updates and control issues.
  • Interpret code and review investment restrictions in investment guidelines monitoring systems e.g. Charles River Investment Management System (CRIMS) and Aladdin to ensure compliance with regulatory and/or client-mandated investment guidelines.
  • Review and clearance of post trade exceptions from investment guidelines monitoring systems, escalating and working with relevant parties (e.g. investment, distribution, risk, legal, regulators) to resolve and report any breaches identified. Provide periodic compliance sign off for segregated mandates to the Institutional Sales Team for the clients.
  • Develop manual processes to regularly monitor the investment restrictions that cannot be automated on a post-trade basis.
  • Work closely with Investment Teams on restrictions coded onto investment guidelines monitoring systems, highlighting those not automated and the importance of pre-trade checks for such restrictions.
  • Work closely with London counterparts on coding and restrictions monitoring matters.
  • Monitor the development of regulatory changes which impact investment restrictions monitoring (e.g. changes in HK UT and MPF Codes etc); analysing and interpreting the requirements and work with London team to code the relevant regulatory rules in the systems
  • Participate in projects and workgroups on the review of new mandates, markets and instruments to assess impact on restrictions monitoring.
  • Assist in audit, due diligent visits, client presentation, and inspection matters.
  • Cover other team members when other team members are out of office
  • Handle the departmental administrative matters together with the rest of the team

To be successful in this role, you should possess the following requisites:

  • Degree graduate with at least 7-10 years of relevant experience
  • Experience supporting China portfolio is an advantage
  • Have worked on Aladdin system
  • Able to work independently
  • Excellent senior stakeholder management skills
  • Enjoy critical thinking, investigating and solving problems
  • Ability to converse and write in Chinese as you will need to support our China office
  • Charismatic and able to lead meetings/calls and conduct presentations