Guidelines - Portfolio Compliance - Senior Associate
1 day ago
Are you looking for an exciting opportunity to join a dynamic and growing team in a fast paced and challenging area This is a unique opportunity for you to work in the Guidelines team to partner with the Business.
As a Senior Associate in the AM Guidelines team, you will support portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. You will be responsible for coding client & compliance regulations in systems, managing alerts and breaches generated pre/post trade, and communicating effectively with various stakeholders. This role offers the opportunity to engage in new account coding, reviews, and revisions, as well as participate in local and global projects.
Job Responsibilities
- Manage 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
- Identify the coding issues.
- Work on Rule coding standardization across supported regions.
- Perform periodic reviews of account coding to ensure accuracy & consistency.
- Set 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.
- Participate in local and global Projects
Required qualifications, capabilities and skills
- Minimum 6 years of work experience of Portfolio Guidelines Coding/ Monitoring.
- Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
- EMEA Shift
Preferred qualifications, capabilities and skills
- Professional level understanding of 1940 Act, UCITS Regulations or ERISA 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.
- People & performance management.
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