Investment Compliance

2 months ago


Hyderabad, India State Street Full time

The purpose of the job is to provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) UCITS requirements or SEC (Securities and Exchange Commission) requirements and (ii) investment guidelines stated in the Prospectus/Statement of Additional Information (SAI).

Key Responsibilities & Experience Range
- Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix.
- Liaise with clients to obtain additional information that may be necessary from time to time to code compliance matrix into the compliance system.
- Perform annual review of compliance rules in the matrix by comparing them against updated prospectuses/SAIs.
- Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines
- Liaise with coding team for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients.
- Demonstrate in-depth knowledge of Investment compliance to translate client requirements into actionable items for internal teams and work with internal teams. (For example, changes related to how a particular derivative should be treated for Derivative Coverage testing or CFTC Testing or IRC)
- Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed
- Adheres to Standard Operating Procedures and improvises Operating procedures where they do not fall in line with the process
- Ensures timely resolution of issues while keeping management informed of any potential issues.
- Responsible for performing daily processes accurately and in accordance with defined time frames and client requirements. May have daily contact with Client Service, Client Management, COEs and Business Unit (BU) Shared Service teams
- During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.
- Participates on projects or committees within the department and/or with BU Shared Services, COEs and Client Operations teams.

Primary Skills (Must Have)
- Good knowledge of U.S. Investment Companies Act of 1940 or UCITS
- Strong communication, interpersonal, organizational, and time management skills
- Ability to analyze investment guidelines and policies to determine testing requirements
- Excellent communication, organization, interpersonal planning, and analytical skills
- Deadline and detail oriented
- Demonstrated computer proficiency, including advanced knowledge of MS Excel, as well as problem solving and analytical skills

Secondary Skills (Good to Have)
- Exposure to Charles River Development (CRD)



  • Hyderabad, Telangana, India State Street Full time

    Job Title – Investment Compliance – Associate 2 Who we are looking for: Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange Commission)...

  • Investment Compliance

    4 weeks ago


    Hyderabad, India JPMorgan Chase & Co. Full time

    Role overview: . Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry...

  • Investment Compliance

    4 weeks ago


    hyderabad, India JPMorgan Chase & Co. Full time

    Role overview: Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry...


  • Hyderabad, India State Street Full time

    Job Title – Investment Compliance – Associate 2 Who we are looking for: Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange...


  • Hyderabad, India State Street Full time

    Job Title – Investment Compliance – Associate 2Who we are looking for:Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange...


  • Hyderabad, India State Street Full time

    Job Title – Investment Compliance – Associate 2 Who we are looking for: Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange Commission)...


  • Hyderabad, Telangana, India State Street Full time

    Job Title - Investment Compliance - Associate 2 Who we are looking for: Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange Commission)...

  • JP Morgan Chase

    4 weeks ago


    Hyderabad, India JP Morgan Chase Full time

    Description:Role overview: J.P. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and...


  • hyderabad, India Skill Ventory Full time

    Roles and Responsibilities Investment Compliance role with Leading Asset Management Company Roles & Responsibility:- Perform the review of regulatory and client guidelines to ensure accuracyand efficiency of existing rules coded and/or to code relevant rules on ordermanagement system Regular Rule maintenance on Order Management System...

  • Compliance Officer

    4 days ago


    Hyderabad, India Zest Home Healthcare & Facility Services Pvt. Ltd. Full time

    Title - Compliance Officer Qualification - MBA in Finance and NISM Series-IIIA (Securities Intermediaries Compliance (Non-Fund)) Certificate Experience - Minimum 1 yr with Employer Letter head. Salary - 3Lakh to 5Lakh **Responsibilities**: - Head of Risk, Legal and Compliance team, Finance & Risk team, Investment Funds & Business Development team,...


  • Hyderabad, India Abacus Consultants Full time

    **10 - 15 years**: **Any Graduate**: **Sales - Wealth**: **16 ~ 17 LPA**: - Manage the investment Portfolio of HNI/UHNI Clients in collaboration with Relationship Managers. - Analyze investment products and determine which product is appropriate for the clients - Responsible to increase the Branch AUM - Support and handhold Relationship managers in joint...


  • Hyderabad, India Caspian Impact Investment Adviser Private Limited Full time

    Job Purpose/ Description:- Own the credit evaluation of potential borrowers and monitor all day-to-day credit risk of entities that Caspian Debt has lent to. Being the Credit & Risk counterpart to the Investments / Relationship function at Caspian Debt, the Portfolio Manager is expected to oversee the credit integrity of the relationships we onboard, and...

  • Investment Manager

    3 weeks ago


    Hyderabad, India Bennett Coleman & Co. Ltd. (The Times of India) Full time

    Brand Capital is the strategic investment arm of The Times Group (Bennett, Coleman & Co. Limited). Brand Capital leverages brand-led growth and value creation via unique and pioneering investment models and programmes. At Brand Capital, we put the unmatched might of our media offerings coupled with our brand building expertise, in consumer-centric businesses...

  • Compliance Analyst

    4 weeks ago


    hyderabad, India OppenheimerFunds Distributor, Inc Full time

    Description Job Purpose (Job Summary): This position would be part of Center of Excellence (CoE) for Investment Compliance and provide necessary assistance to Global Investment Compliance (IC) function from Hyderabad office. This role would also provide support as required to EMEA, US, CA and APAC IC teams, in accordance with relevant...

  • Compliance Analyst

    4 weeks ago


    Hyderabad, India OppenheimerFunds Distributor, Inc Full time

    Description Job Purpose (Job Summary): This position would be part of Center of Excellence (CoE) for Investment Compliance and provide necessary assistance to Global Investment Compliance (IC) function from Hyderabad office. This role would also provide support as required to EMEA, US, CA and APAC IC teams, in accordance with relevant regulations...

  • Compliance Analyst

    1 week ago


    Hyderabad, India OppenheimerFunds Distributor, Inc Full time

    Description Job Purpose (Job Summary): This position would be part of Center of Excellence (CoE) for Investment Compliance and provide necessary assistance to Global Investment Compliance (IC) function from Hyderabad office. This role would also provide support as required to EMEA, US, CA and APAC IC teams, in accordance with relevant regulations...

  • Investment Manager

    3 weeks ago


    hyderabad, India Bennett Coleman & Co. Ltd. (The Times of India) Full time

    Brand Capital is the strategic investment arm of The Times Group (Bennett, Coleman & Co. Limited). Brand Capital leverages brand-led growth and value creation via unique and pioneering investment models and programmes. At Brand Capital, we put the unmatched might of our media offerings coupled with our brand building expertise, in consumer-centric...


  • hyderabad, India Goldman Sachs Full time

    ABOUT GOLDMAN SACHS Goldman Sachs is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments, and high net-worth individuals. Founded in 1869, it is one of the oldest and...


  • Hyderabad, India Goldman Sachs Full time

    ABOUT GOLDMAN SACHS Goldman Sachs is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments, and high net-worth individuals. Founded in 1869, it is one of the oldest and...


  • hyderabad, India Goldman Sachs Full time

    ABOUT GOLDMAN SACHS Goldman Sachs is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments, and high net-worth individuals. Founded in 1869, it is one of the oldest and...