It offers investment solutions and services and retirement expertise to more than 2.5 million customers globally. As a
privately-held, purpose-driven company with a 50-year heritage, they think generationally and invest for the long term.
Purpose of the Role
You will be responsible for monitoring communications (emails, Bloomberg messages, Zoom, Teams, Voice) of the firm’s investment
professionals (e.g. traders, portfolio managers, research analysts), to detect misconduct, market abuse, or behaviour that is not in
accordance with the firm’s policies. In addition, there will be opportunities to perform other monitoring performed by the firm’s
Investment Compliance function.
• Monitoring of communications using the firm’s communications monitoring tool. This will primarily consist of reviewing
exceptions and performing further investigation where required.
• Ongoing calibration and administration of the communications monitoring tool and production of management information and
• Assist with the performance of recurring exception monitoring of trading and other investment activities. This includes
exceptions and incidents such as best execution, fair allocation, market conduct, and conflicts of interest.
• Supporting the development and maintenance of management information reports, metrics and dashboards based on
complex data sets.
Experience and Qualifications Required
• Candidates with business-level Japanese language abilities would have a distinct advantage;
• At least 3 years of experience in the financial services industry;
• Highly motivated, able to think logically, critically & quickly;
• Good understanding of concepts and practices relating to trading, investment management and research;
• Excellent communication and inter-personal skills, with a track record of coordinating and working with teammates and
stakeholders across multiple locations to deliver projects and deliverables;
• Excellent business writing skills;
• Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks