Investment Compliance Analyst

4 days ago

mumbai, India Decimal Point Analytics Full time

We are seeking a detail-oriented and analytical Investment Compliance Analyst to join our team. The ideal candidate will have a strong understanding of investment instruments and the ability to interpret and apply investment guidelines effectively. This role requires hands-on experience in investment compliance functions, including coding and post-trade monitoring, using leading industry solutions.


Key Responsibilities

  • Investment Compliance Monitoring: Conduct coding and post-trade compliance checks to ensure adherence to investment guidelines and regulatory requirements.
  • Guideline Interpretation: Analyze, interpret, and implement investment guidelines for various instruments, ensuring alignment with client and regulatory standards.
  • Compliance Tools Management: Utilize platforms such as Sentinel, Aladdin, Bloomberg AIM, or Charles River Development (CRD) for compliance processes.
  • Reporting and Documentation: Prepare accurate compliance reports and maintain thorough documentation for audit and client purposes.
  • Collaboration: Work closely with portfolio managers, risk management teams, and other stakeholders to address compliance issues and ensure timely resolution.
  • Process Optimization: Continuously identify and implement improvements in compliance processes and procedures.


Key Competencies

  • Investment Instruments Knowledge: Strong understanding of equities, derivatives, and fixed-income instruments.
  • Analytical Skills: Ability to apply logical reasoning and interpret complex investment guidelines.
  • Technical Expertise: Proficiency with at least one compliance platform (Sentinel, Aladdin, Bloomberg AIM, or CRD).
  • Microsoft Office Proficiency: Strong working knowledge of Excel, Word, and other MS Office applications.
  • Communication Skills: Excellent written and verbal communication abilities to convey compliance matters effectively to diverse stakeholders.

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