Senior Investment Compliance Specialist

5 days ago


Navi Mumbai Mumbai Mumbai City, India beBeeInvestment Full time US$ 90,000 - US$ 1,20,000

Job Summary:

We are seeking a seasoned Portfolio Manager to establish and enforce investment restrictions and limits in line with regulatory requirements and fund mandates. You will be responsible for resolving pre- and post-trade compliance exceptions, analyzing repetitive system alerts, and collaborating with various teams to ensure appropriate limit monitoring.

About the Role:

  • Establish investment restrictions and limits according to regulatory requirements, fund mandates, and applicable policies.
  • Resolve pre-trade and post-trade compliance exceptions generated by systems like Aladdin during the order management process.
  • Maintain and enforce internal threshold limits according to applicable regulations and address various information requirements.
  • Analyze and address any repetitive alerts or warnings generated by the system to assess the need for reassessment of internal thresholds.
  • Collaborate with Portfolio Managers, Technology, and Compliance teams to ensure appropriate limit monitoring.
  • Take an active role in ensuring the smoother onboarding of the monitoring framework.

Requirements:

  • Proven experience in investment compliance and regulatory requirements.
  • Strong analytical skills to analyze system alerts and resolve compliance exceptions.
  • Excellent collaboration and communication skills to work with Portfolio Managers, Technology, and Compliance teams.
  • Experience with an order management system like Aladdin is a plus.
  • An active interest in system onboarding and framework implementation.

Qualifications:

  • Bachelor's degree in Finance, Business, or a related field, or equivalent experience.


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