
Investment Compliance-Compliance Monitoring-Associate/Sr Associate
1 day ago
About the job:
Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts, combined with proprietary technology, supports more than 500 financial institutions and consulting companies to operate more efficiently and unlock their human capital, driving revenue higher and transforming operations.
Acuity is headquartered in London and operates from 10 locations worldwide. The company fosters a diverse, equitable and inclusive work environment, nurturing talent, regardless of race, gender, ethnicity or sexual orientation.
Acuity was established as a separate business from Moody's Corporation in 2019, following its acquisition by Equistone Partners Europe (Equistone). In January 2023, funds advised by global private equity firm Permira acquired a majority stake in the business from Equistone, which remains invested as a minority shareholder.
Job Responsibilities:
Investment compliance team is responsible for implementing controls and processes which will ensure that all investments in various portfolios are adhering to regulatory as well as client issued guidelines.
- The incumbent will primarily be responsible for reading investment management agreements and extracting, analyzing, coding of client, regulatory and internal investment guidelines on various compliance systems like Sentinel, Aladdin, AIM etc.
- The incumbent will also be responsible for performing daily review of post trade incidents, researching any potential breach during trading, liaising with onshore analysts and portfolio management teams to ensure portfolios are complying to all guidelines.
- Associate of the investment compliance team will be an expert in the process and should be able to perform the task with minimal support of senior team members.
- The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster.
Key Responsibilities
- New account on-boarding activities.
- Guideline reviews and account coding
- Identify gaps in existing coding and suggest enhancements.
- Perform daily review of post trade incidents and perform thorough investigations to identify root cause of the failure.
- Liaison with portfolio managers, client relationship managers and ensure portfolio is adhering to all guidelines.
- Handle queries of junior team members and help them learn the process.
- Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team.
- Work on list updates which includes firm wide restricted list updates as well as client specific lists.
- Client certifications and attestations
- Perform checks on non codeable guidelines.
- Work on projects as required.
Qualifications:
MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred.
Key Competencies
- Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc.
- Sound interpretational & logical reasoning skills to comprehend investment guidelines.
- Strong Microsoft Office knowledge is required.
- Experience in Investment Compliance functions including coding and post-trade monitoring is mandatory.
- Experience in one of the following solution providers is required: Sentinel, Aladdin, Bloomberg AIM, Geneva.
Interested candidates can share me their resume @
-
Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeAbout the job:Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts,...
-
Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeAbout the job: Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts,...
-
Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeAbout the job:Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts,...
-
Investment Compliance Specialist
21 hours ago
Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 25,00,000 - ₹ 50,00,000Compliance Monitoring RoleThis position involves overseeing the implementation of compliance regulations and guidelines to ensure adherence across our operations.Responsibilities:We are seeking a Compliance Associate/Senior Associate to join our team. The successful candidate will be responsible for monitoring and enforcing compliance with regulatory...
-
Sr Associate
2 days ago
Bengaluru, Karnataka, India Tass & Hamjit Financial Advisory Full timeElevate Your Career with Tass & Hamjit Location : Calicut, Kerala.We're looking for a Senior Associate - Advisory to join our team in the GCC Back Office. If you're a qualified accounting professional with 3-5 years of experience and a passion for advisory services, we want to hear from youKey Requirements:- ACCA Affiliate, CMA India Qualified, or CA...
-
Senior Investment Compliance Specialist
3 days ago
Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 12,00,000Job Description:We are seeking an Investment Compliance Associate to join our team.The role will involve implementing controls and processes to ensure investments adhere to regulatory and client guidelines.Extract, analyze and code client, regulatory and internal investment guidelines on various compliance systems.Perform daily review of post trade...
-
Associate - Transaction Monitoring
3 weeks ago
Bengaluru, Karnataka, India TerraPay Full timeTitle: AssociateLocation: BangaloreRole overview:A successful Transaction Monitoring Associate / Sr. Associate is responsible for monitoring, investigating, and analyzing transactions to detect and report suspicious activity in compliance with anti-money laundering (AML), counter-terrorist financing (CTF), and other regulatory requirements. This role...
-
Prod Compliance Sr. Associate
2 weeks ago
Bengaluru, Karnataka, India Amazon Full time US$ 90,000 - US$ 1,20,000 per yearThe Global Solutions and Risk Compliance (GSRC) organization is a component of Amazon's operations, dedicated to ensuring the compliance of its products and services worldwide. GSRC's core mission is to keep customers, partners, and associates safe while protecting the company from legal and regulatory risks. With a diverse global team spanning across India,...
-
Associate - Transaction Monitoring
5 days ago
Bengaluru, Karnataka, India TerraPay Full time ₹ 5,00,000 - ₹ 10,00,000 per yearTitle: AssociateLocation: BangaloreRole overview: A successful Transaction Monitoring Associate / Sr. Associate is responsible for monitoring, investigating, and analyzing transactions to detect and report suspicious activity in compliance with anti-money laundering (AML), counter-terrorist financing (CTF), and other regulatory requirements. This role...
-
Compliance Associate
5 days ago
Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 4,00,000 - ₹ 8,00,000Job Role:We are seeking a diligent professional to fill the role of Compliance Associate. The successful candidate will support our Legal and Compliance team by preparing and filing statutory forms, coordinating with Company Secretaries, and maintaining records.Key Responsibilities:1. Assist in the preparation and submission of statutory forms (MGT-7, AOC-4)...