柏瑞證券投資信託股份有限公司

• Identifies and initiates new project for high-net-worth clients. Ensure all activities and documents are in accordance with the internal AML/KYC policies. • Liaises closely with product managers to develop solutions that meet client expectations. Diligently follow-up and resolve client inquiries in a timely and professional manner. • Manage relationships with major clients. • Handle or assist in ad-hoc projects and initiatives as requested.

Investment and 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.