The Investment Guidelines Rule Coding team sits within AMD Investment Operations and has primary responsibility for implementing/coding investment guidelines into the guideline monitoring systems and providing oversight and support for pre-trade & post-trade guideline alerts/exceptions oversight and support. The Investment Guidelines Rule Coding team supports the investment teams and the investment process by providing real-time advice and support for all investment guidelines. The guidelines coding function involves setting up and maintaining all client & applicable regulatory investment guidelines enable effective monitoring of guideline breaches. These functions cover a wide range of client-types and a complex product range, including equities, fixed income, bank loans, private credit, currencies, and a wide array of increasingly complex derivatives. This role involves extensive interaction with portfolio management teams, trading, client relationship, legal, compliance, and operations to ensure effective oversight for existing business and also to shape and implement guideline monitoring related solutions for new clients, products, strategies, and system architecture in a continuously evolving environment.

JOB SUMMARY AND RESPONSBILITIES

• Holistic ownership and understanding of client accounts, trade life cycle and act as a single point of contact for AMD business for any investment guideline issues or queries. Types of client accounts include institutional separately managed accounts, regulated mutual funds/pooled vehicles, ERISA pension plans, and unregistered private funds.
• Ability to understand and decipher into business logic from sources including investment management agreements (IMA), fund prospectuses and statement of additional information, Investment Policies, Pre-Contractual Obligations (PCDs) and other client investment restrictions including an ever-evolving landscape of Environmental, Social and Governance (“ESG”) client and regulatory requirements.
• Implement and maintain client and regulatory guideline rules on compliance platforms
• Liaison with Investment Teams to ensure understanding and adherence to investment guidelines
• Partner with various operations and technology engineering teams to improve data availability and quality, and improvements/modernization of existing processes.
• Collaboration with post-trade guidelines monitoring partners to provide advice and assistance in helping to resolve live guideline exceptions and issues, exceptions reductions, and manually monitored guidelines.
• Represent the team in client meetings for due diligence purposes
• Partner and liaise with client implementation teams to qualify new business, implement account events, and ensure the adequacy of account surveillance.
• Providing effective thought leadership in navigating evolving financial regulatory landscape and helping to develop technological solutions to build appropriate architecture.

BASIC QUALIFICATIONS

• Bachelor’s degree required
• 5 plus years of professional experience in the financial services industry
• Knowledge of operational aspects of trade management or investment guidelines surveillance
• Be highly collaborative, team-oriented, and strong consensus builder
• Demonstrate ability to partner across product groups, regions, and functional responsibilities
• Possess strong communication and interpersonal skills both written and oral
• Flexibility to be available for occasional time-sensitive pre-trade support needed after hours prior to Asia market opening
• Solid base understanding of equities, fixed income, bank loans, private credit, currencies, and derivative instruments
• Chartered Financial Analyst (CFA) / Financial Risk Manager (FRM) by GARP) / Chartered Institute for Securities & Investment (CISI) certifications will be a plus
• Strong Microsoft Excel skills
• Experience in coding and/or monitoring investment guidelines using systems such as Sentinel, Charles River, Aladdin, Bloomberg AIM will be an advantage
• Be a strategic thinker, possessing strong facilitation and data gathering skills
• Effective problem solver, multi-tasking, attention to detail, and ability to work in a fast-paced environment with tight deadlines
• Risk management focus