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Assistant Vice President, Investment and Trade Compliance

Assistant Vice President, Investment and Trade Compliance

PineBridge InvestmentsPineBridge InvestmentsTaipei
21 days ago
Job description

PineBridge Investments is seeking an Investment and Trade Compliance. The role will be based in Taipei.

PineBridge Investments is a private, global asset manager focused on active, high conviction investing. We draw on the collective power of our experts in each discipline, market, and region of the world through an open culture of collaboration designed to identify the best ideas. Our mission is to exceed clients’ expectations on every level, every day. As of 31 March 2025, the firm managed US$188.9 billion across global asset classes for sophisticated investors around the world.

Main Responsibilities :

Investment & Trade Compliance :

  • Support the Vice President of Investment and Trade Compliance and the Global Head of Investment and Trade Compliance with compliance queries ranging from local, regional and global tasks and projects in order to strengthen the Investment Compliance globalization process.
  • Responsible to monitor the investment guideline on day-to-day basis, including the setup (coding) in the IPG / IRG / BBG for the funds (onshore and offshore) or separate managed accounts to comply with local regulation requirements, prospectus and IMA.
  • Responsible for guideline monitoring, issue escalation, and problem resolution for accounts associated with a client in the country or region.
  • Key workgroup member to represent Compliance to support new product launch or business initiatives, including provide solid investment and trade compliance advise for IPO, prospectus update and SMA take on. Work closely with Product, Risk and Investment teams, include provide value added compliance advise on the best approach to ensure investment restriction can be coded accurately and consistently in the IPG / IRG / system to the extent possible.
  • Be a key member to represent the Compliance team and active participation in the Firm system implementation projects, such as EOS, primarily focusing on investment and trade compliance aspect, include prepare user-specification, perform UAT and subsequent system enhancement.
  • Work closely with the Group and APAC Investment and Trade Compliance (ITC) team and as part of Centre of Expertise (COE) on ITC matters. These include liaise and coordinate with various PineBridge affiliates compliance team to ensure investment / trade compliance matter is addressed and follow through timely to ensure comply with local regulatory or client’s IMA requirements. Contribute to trade oversight process as well as relevant policy development.
  • Be a key team member to address any regulatory requests from regulators or SITCA, including follow up with internal team for any response or submit ad-hoc survey from SITCA or SFB, especially during market events.
  • Prepared GAP analysis (in particular) on new local regulatory developments, primarily focus on changes on investment guideline or trading related matters and deliver training to ensure the investment and trading team are appraised on the latest requirement.

Others :

  • Update any local policy and procedure to comply applicable local laws and regulation, in addition, to alignment with Firm’s global policy that will change from time to time.
  • Prepare regular management reports for local Board, regional or global compliance.
  • Provide solution-based advice to company staff / departments on compliance with regulatory requirements.
  • Perform ad-hoc tasks as the role continues to evolve and participate in various local / regional / global projects, such as ESG, Corporate Social Responsibility (CSR), Stewardship Code and the annual report, Sanctioned, process re-engineering projects from time to time.
  • Any ad hoc projects and assume additional responsibilities from time to time, such as perform personal investment transaction monitoring, MNPI and Conflict of Interest assessment according to Code of Ethics.

    • Qualifications :

  • Obtain professional investment consulting and trust license.
  • Bachelor’s degree required with at least 8 years of working experience in the SITE / SICE industry, including 5 years for compliance function.
  • Good product knowledge on various asset classes, include multi-assets, fixed income, equity, derivatives and so on.
  • Familiar knowledge about the relevant regulations of SITE & SICE.
  • Prior experience on IPG / IRG, EOS / BBG or system implementation will be highly regarded.
  • Ability to manage priority to meet stringent deadlines for local strategic projects or regulatory timelines, be a self-starter but also team player
  • Excellent interpersonal and communication skills
  • Hands on, detail oriented, result-driven, ability to adapt to a fast-paced environment.
  • Good speaking and writing ability in English.
  • Occasional travelling and ITC coverage outside office hours will be required if business needs arise

    • About PineBridge

    PineBridge is proud of our award-winning culture, which reflects our commitment to empowering employees and fostering a collaborative work environment. For five consecutive years (2020-2024), PineBridge has been named a ‘Best Place to Work in Money Management’ by , a leading industry designation which recognizes the best employers in the asset management industry by evaluating employer benefits, policies, and responses to an employee survey. In 2023, PineBridge received Hong Kong Institute for HR Management Elite awards for ‘Best Workplace’ and ‘Learning & Development’. Alongside this, PineBridge was recognized as a finalist at the 100 Women in Finance’s APAC Industry Diversity, Equity & Inclusion Award.

    Our benefits : We offer a wide range of family friendly benefits including comprehensive healthcare, back-up childcare program to support working parents and flexible work arrangements so you can be there for the people you care about. Furthermore, we have a robust list of professional development opportunities with the goal of engaging, retaining, and developing our talent.

    Our values : We value our clients, investment excellence, collaboration with our distributed team members, empowerment, and independence as we honor our heritage and our roots.

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