Strategic Compliance Specialist

2 days ago

Gurgaon, Haryana, India beBeeCompliance Full time ₹ 1,00,00,000 - ₹ 1,50,00,000
Portfolio Compliance Monitoring Expert

Our organization is seeking a seasoned Portfolio Compliance Monitoring expert to join our team. This key role will play a vital part in ensuring the compliance of investment portfolios with regulatory rules and guidelines.

  • Onboard new clients by understanding their requirements, interpreting prospectuses/investment mandates, and extracting compliance restrictions.
  • Review regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded.
  • Maintain compliance rules on the CRD system.
  • Conduct account mapping/review versus applicable rule.
  • Improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving automated monitoring, and ensuring rules are working as intended.
About Your Role

You will work closely with the Investment Compliance team globally to ensure that investment restrictions coded on the compliance system are correctly interpreted. This may involve discussions with Client Services, Relationship Directors, Legal, and Product teams.

Key Responsibilities:
  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules.
  • Research ad-hoc queries from compliance reporting teams to determine if client portfolios are in line with investment guidelines.
  • Assist in resolving queries with regional compliance teams.
  • Assist with ongoing review of relevant processes and procedures to ensure best practice.
  • Assist in a range of FIL-wide projects or tasks.
  • Assist with ad-hoc compliance monitoring tasks as required.

This is an exciting opportunity for a strategic thinker who possesses strong facilitation and data gathering skills. If you are a detail-oriented individual with excellent problem-solving abilities and experience in investment compliance guideline rule coding, we encourage you to apply.

The ideal candidate will have excellent communication and interpersonal skills, be able to work effectively in a team environment, and possess a high level of analytical and problem-solving skills. They will also have a strong attention to detail and be able to prioritize tasks effectively.

The role requires the ability to work in a fast-paced environment, handle multiple priorities, and meet deadlines. The ideal candidate will be highly organized, proactive, and able to adapt to changing circumstances.

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