Analyst Compliance

Found in: Whatjobs IN C2 - 2 weeks ago


bangalore, India Arena Investors I Quaestor Advisors Full time

 Support front, middle and back office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940;

 Daily code of ethics administration (e.g. PA dealing, Gifts & Entertainment, Outside Business Activity, Political Contribution, etc.) via the Star Compliance platform;

 Maintenance of restricted trading list and watchlist;

 AML/KYC risk-assessment and due-diligence;

 Vendor due-diligence;

 Daily portfolio management review and monitoring (e.g. trade blotter, positions, trade errors, best execution, allocation, principal/cross trades, etc.);

 Daily monitoring of positions/holdings;

 Preparation of significant shareholder/short sell filings;

 Assist with regulatory filings oversight/co-ordination (e.g. Form ADV, Form PF, Form 13F, Form 13D/G, UK FCA filings, Singapore MAS filings, etc.)

 Assist Testing and monitoring of compliance program;

 Keeping abreast regulatory developments; and

 Ad-hoc projects.

Requirements

 1-3 years of regulatory compliance experience;

 Familiarity with U.S. SEC rules and regulations;

 Familiarity with private credit, private equity and public credit strategies;

 Code of ethics administration experience;

 Comfortable working independently, and balancing multiple priorities;

 Excellent organizational, oral and written communication skills;

 Flexible and capable of prioritizing based on changing internal or external demands; and

 Bachelor's degree required.


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