Responsibilities 1. Pre-Trade and Post-Trade Monitoring • Knowledge of Regulatory rules like UCITS, APAC Regulations (such as MPF- Mandatory Pension Funds) and SEC 1940 Act Funds. • Perform Daily Compliance checks to ensure trades are in line with client guidelines and regulatory requirements. • Investigate and resolve compliance breaches, escalating as necessary. 2. Guideline interpretation & Documentation • Interpret Investment Management Agreements (IMAs), Prospectus and Statements of Additional Information (SAIs). • Translate legal and regulatory language into actionable compliance rules. 3. Guideline Coding & Maintenance • Code and Maintain compliance rules in engines such as Charles River (CRD / CRIMS) or similar platforms. • Review and validate coding logic to ensure accuracy and completeness. • Collaborate with Portfolio Managers (PMs/PMAs), legal and operations to ensure proper implementation. 4. Compliance Oversight and Reporting • Generate and review compliance reports for internal stakeholders and clients. • Support audit and regulatory requests with accurate documentation and analysis. 5. Change Management & Projects • Participate in onboarding new accounts and changes to existing mandates • Lead and/or support compliance related projects, including system upgrades and automation initiatives. • Review existing coding in Charles River and assist in clean-up project. • Help, Mentor, train and/or advise junior staff members? 6. Risk Identification & Mitigation: • Proactively identify compliance risks and recommend mitigation strategies Qualifications Bachelors and above. Masters preferred. CFA/FRM good to have.

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