Investment Compliance Portfolio Specialist

4 days ago

Gurgaon, Haryana, India beBeeCompliance Full time ₹ 30,00,000 - ₹ 50,00,000
Portfolio Compliance Monitoring Specialist

The ideal candidate will possess a deep understanding of investment compliance guidelines and have experience in rule coding, with a strong background in the investment management industry.

Key Responsibilities:
  • Interpret client requirements and extract compliance restrictions to ensure accurate coding of guidelines into compliance systems.
  • Perform regular reviews of regulatory and client guidelines to ensure accuracy and efficiency.
  • Conduct account mapping and review against applicable rules.
  • Improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, and ensuring rules work as intended.
  • Liaise with broader Investment Compliance colleagues globally to ensure correct interpretation of investment restrictions coded on compliance systems.
  • Prepare documentation to support reviews conducted and to substantiate 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.
  • Support FIL-wide projects or tasks.

Requirements:
  • Experience in investment compliance guideline rule coding is essential.
  • Strong understanding of Charles River system workflows and parameters is required.
  • Knowledge of data set up in Charles River from vendors such as Bloomberg, Factset, and ESG is necessary.
  • Excellent technology skills with experience in writing high-quality code are required.
  • Regulatory environment experience, including UCITS, SFC, FCA, and SEC, would be an advantage.
  • 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products is desired.
  • Good instrument knowledge of equities, fixed income, and derivatives is required.
  • Understanding of ESG guidelines and frameworks is necessary.
  • Strategic thinking, facilitation, and data gathering skills are essential.
  • Effective problem-solving, attention to detail, and ability to work under pressure are required.
  • CFA or Bachelor of Business or Commerce is preferred.
  • Business-level verbal and written English communication/presentation skills are necessary.
  • Positive team player and ability to work independently are required.
  • Strong self-motivation, organisation, prioritisation, time management, and adaptability are necessary.

Benefits:

  • Competitive compensation package.
  • Opportunities for professional growth and development.
  • Collaborative and dynamic work environment.
  • Flexibility and autonomy to manage workload.

Others:

  • Continuous learning and skill enhancement opportunities.
  • Recognition and reward for outstanding performance.
  • Professional certifications and training programs.
  • Wellness and employee assistance programs.

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