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Investment Compliance Professional
2 weeks ago
Compliance Monitoring Specialist
Job SummaryWe are seeking a skilled Compliance Monitoring Specialist to join our team. As a key member of our compliance function, you will be responsible for monitoring and reporting on compliance with regulatory requirements and company policies.
Main Responsibilities- Monitor and investigate potential compliance breaches, generating and reviewing reports as necessary.
- Maintain accurate records of investment restrictions and coding to compliance systems.
- Conduct daily personal trading reviews using third-party applications to identify policy violations.
- Review and investigate daily risk and compliance data, following up as necessary.
- Perform periodic tasks within the compliance monitoring program.
- Assist in developing the compliance monitoring program and compliance systems.
- Support ad-hoc regulatory and business projects.
- Experience in institutional asset management environment.
- Compliance monitoring experience with use of systems like Thinkfolio, Latent Zero, Charles River, and Apollo.
- Disciplined approach to work, attention to detail, and willingness to investigate day-to-day issues.
- Approachable demeanor, flexibility, and ability to prioritize workload and meet deadlines.
- Excellent communication skills, high accuracy, and attention to detail.
- Familiarity with Indian stock markets and mutual funds is beneficial.
The selected candidate will have the opportunity to work in a dynamic and supportive environment, contributing to the growth and success of our organization.
About This RoleThis role offers a challenging and rewarding experience for a skilled professional looking to make a meaningful contribution to our compliance function.
