Senior Associate, Compliance

3 weeks ago

Chennai, India BNY Full time

In this role, youll make an impact in the following ways:

  • Insight Investment is looking for a Sr. Associate (Compliance & Control) to join the Guideline Management team in Chennai. The Senior analyst will be responsible for the handling of Pre & Post trade alerts, Guideline coding and Guideline drafting reviews within Charles River. The senior analyst will assist in Guideline related projects, suggest improvements to existing processes and help support the junior associates in building their CRD technical skills and expertise of the process.
  • Monitor post trade batch alerts daily and provide notification to front office and other business groups in a timely manner.
  • Ensure all new mandates/amendments are coded into Charles River within the agreed time limit with a high level of accuracy.
  • Work closely with the Fund Managers and Client Directors to ensure that coding has been accurately interpreted and signed off within the appropriate time limit.
  • Ensure client guideline queries from across the business are answered in a timely and accurate manner.
  • Oversight of post trade monitoring ensuring incidents are proactively escalated and recorded in the relevant systems.
  • Produce monthly and quarterly compliance attestations and ensure the attestations are produced within the required deadlines.
  • Support the fund managers with ad-hoc queries related to pre-trade warnings generated by the compliance systems.
  • Continuously engage with IT to evolve systems, assisting and taking the lead in Guideline related projects
  • Work closely with Fund Management and the Client Services team in the review of guidelines ensuring that amendments can be coded into the compliance systems and standardizing the format of guidelines across the U.S. business.
  • Proactively devise ways to reduce operational risk to the business and to increase the efficiency of processes

To be successful in this role, were seeking the following:

  • Excellent academics with degree from a reputed institute.
  • Minimum 7, preferably 9+ years or more of rule coding experience on Charles River (rule coding on V20 or above of CRD is preferred).
  • Relevant experience in monitoring pre & post trade compliance on Charles River or another similar Order Management System
  • Good communication & analytical skills to resolve hands on problems
  • Advanced knowledge of Microsoft Word, Power Point and Excel and the ability to build reports to enable the extraction and analysis of data sets
  • Able to provide challenge to both existing processes and controls across the business and be proactive, self-supportive and motivated in the promotion of a positive compliance and risk culture within the firm
  • Strong understanding of fixed income securities including derivatives
  • Strong ownership of role and responsibilities

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