Investment Guidelines_Team_Lead

Job Responsibilities

Manage and oversee the Guidelines Management Control function supporting the Private Family Funds business For the EMEA region. Also, the role requires good knowledge of European Fund regulation, specifically UCITS and AIFMD including country specific nuances with specific emphasis on investment guidelines.

This is an individual contributor role.

Coding

New account coding, reviews & revisions including on-boarding activities. Review new data analytics and update compliance platforms Understand and setup rules as per ratings agencies  Identification of coding issues. Maintenance of Legal & Compliance approved & restricted lists. Counterparty maintenance. Work on Rule coding standardization across supported regions. Perform periodic reviews of account coding to ensure accuracy & consistency. Setting up trading brokers and counterparty Limits, exposure as per IMA Evaluate coding accuracy & communicate in case of any discrepancy. Partner with monitoring team to reduces false breaches and manually monitored guidelines.  Interactions with stakeholders Projects as required. Process/ system enhancements along with regression testing

Monitoring

Post-trade violation investigation & resolution  Classification of Active v/s Passive breach Assistance with Client certifications/ attestations. Additional review of regulatory breaches around UCITS regulations  Classification of Fund Portfolio investments  Manual test execution as per defined periodicity. Perform Annual account review  Coordinating with Portfolio managers and Investment specialists for fund breaches Execute Client service group duties and coordinate between various portfolio managers  Participate in local and projects as required. Process / system enhancements along with regression testing

Required Qualificaions, Skills and Capabilities:

2-5 years of work experience of Portfolio Guidelines Coding/ Monitoring. Candidate with good understanding of securities reference data, portfolio analysis experience can be considered. Familiar with trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance) Professional level understanding of UCITS Regulations will be added advantage. Analytical & Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills. Team needs to understand financial instruments which are being traded by Portfolio Managers to code guidelines or to perform secondary research. Detail Orientation: Function is critical from an impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes. Communication (Spoken – Assertiveness & Written): Need to communicate with Front Office (Portfolio Managers), Onshore Leads, Client Services on need basis to ensure correct interpretation by the coding team & to confirm client guideline breaches are understood by Front Office for necessary correction of the trades. Portfolio breaches need to be explained with requisite details over the email. Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management.

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