Investment Compliance Professional

1 week ago


Hyderabad, Telangana, India OppenheimerFunds Distributor, Inc Full time

Company Overview

In OppenheimerFunds Distributor, Inc, we foster a culture of integrity and do meaningful work to create impact for our stakeholders. Our diverse and inclusive workplace allows everyone to feel equally valued.

About the Role

We are seeking an experienced Investment Compliance Professional to join our EMEA compliance team. As an analyst, you will address day-to-day compliance alerts/warnings in batch compliance related to trading strategies and technology-related or manual controls.

Key Responsibilities:

  • Monitor investment guidelines of client portfolios and ensure violations (active & passive) are addressed in a timely manner by informing onshore counterparts.
  • Analyze investment restrictions to ensure asset allocation and issuer concentration, industry, sector, and security investment limits, credit quality, duration, and other risk characteristics, leverage restrictions, country, and region exposures, industry regulations align with the Investment Management Agreement.
  • Onboard new clients for investment compliance by understanding investment restrictions, interpreting mandates, coding, testing restrictions, and reporting exceptions.
  • Ensure restricted securities are updated in restricted lists on security/issuer level to prevent trading by portfolio managers.
  • Exposure to various asset classes like Equities, Fixed Income, and derivatives, and understand holding and transaction-level checks.
  • Conduct periodic and transactional testing to ensure compliance with state, federal, and self-regulatory agency requirements.
  • Interact with regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement compliance monitoring activities, ongoing testing, and related controls.
  • Respond to basic and intermediary queries from team members and report to manager for escalations.
  • Assist in compliance-related projects and initiatives.

What You Will Bring:

We require 2-4 years of experience in investment compliance with an investment advisor or mutual fund group. A good understanding of capital markets, financial products, and asset management industry is necessary.

Compensation Package:

We offer a competitive salary range of $80,000 - $120,000 per annum, flexible hybrid work arrangements, 30 days' annual leave + public holidays, life insurance, retirement planning, group personal accident insurance, medical insurance for employees and families, annual health check-ups, 26 weeks maternity leave, paternal leave, adoption leave, near-site childcare facilities, employee assistance program, study support, employee stock purchase plan, ESG commitments and goals, business resource groups, career development programs, mentoring programs, Invesco Cares, and dress for your day policies.



  • Hyderabad, Telangana, India F3328 FTIS (India) Pvt Ltd, FT Park Hyd Branch Full time

    At F3328 FTIS (India) Pvt Ltd, FT Park Hyd Branch, we're driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals.The dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams...


  • Hyderabad, Telangana, India LMV Investment Services Pvt Ltd Full time

    We are LMV Investment Services Pvt Ltd, a leading investment services firm. We are seeking an experienced Stok Broking Dealer to join our team.The ideal candidate will have prior work experience in the relevant domain and a strong understanding of the share market and trading concepts.Key responsibilities include:Analyzing market trends and making informed...


  • Hyderabad, Telangana, India LMV Investment Services Pvt Ltd Full time

    We are looking for a highly skilled Financial Professional to join our team at LMV Investment Services Pvt Ltd. The ideal candidate will have a strong background in accounting and be able to interpret and analyze financial statements.Responsibilities:Verify MIS ReportsFilling GST returnsExcellent knowledge in TDS and Accounting softwareOur ideal candidate...

  • Finance Professional

    3 weeks ago


    Hyderabad, Telangana, India F3328 FTIS (India) Pvt Ltd, FT Park Hyd Branch Full time

    Job OverviewWe are seeking a highly skilled Finance Professional to join our Investment Management Support team at F3328 FTIS (India) Pvt Ltd, FT Park Hyd Branch. This role will be responsible for participating in the preparation and development of budgets, forecasts, financial reporting, and related activities.ResponsibilitiesThe successful candidate will...


  • Hyderabad, Telangana, India Exxeella Education Group Full time

    Job Description: We are seeking a Strategic Investment Director to lead our investment initiatives and provide strategic oversight.Position: Strategic Investment Director (SID)Type: Part-TimeLocation: HyderabadContract- 3 monthsExperience- 15-20 yearsWe require an experienced Investment Professional with strong knowledge of Investment Strategies, Portfolio...


  • Hyderabad, Telangana, India Dr Reddy's Laboratories Limited Full time

    At Dr. Reddy's Laboratories Limited, we are seeking a highly skilled Compliance Risk Management Professional to join our team. As a key member of our compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement compliance risk management...


  • Hyderabad, Telangana, India Arcesium Full time

    About ArcesiumArcesium is a cutting-edge financial technology firm that empowers some of the world's most sophisticated financial institutions with innovative solutions.Job SummaryWe are seeking an IT Assurance and Compliance Associate to join our growing Internal Audit team. As a key member, you will be responsible for evaluating and maintaining technology...


  • Hyderabad, Telangana, India Endiya Partners Full time

    Financial Operations SpecialistWe are seeking a highly skilled Accounting Professional to join our team at Endiya Partners as a Financial Operations Specialist. This role will be responsible for managing the financial operations of our Alternative Investment Funds (AIFs) and their Fund Management Entities.Key Responsibilities:Fund and Corporate...


  • Hyderabad, Telangana, India Exxeella Education Group Full time

    Job Title: Strategic Investment DirectorWe are seeking an experienced Chief Investment Officer to lead our investment initiatives and provide strategic oversight.About Exxeella Education GroupExxeella Education Group is a dynamic organization committed to delivering high-quality educational services. Our team is dedicated to fostering growth and development...


  • Hyderabad, Telangana, India Goldman Sachs Full time

    Transforming the Future of Financial ServicesWe are seeking an exceptional Enterprise Software Architect to join our Compliance Engineering team in Hyderabad.At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Our Compliance Engineering team builds and operates a suite of platforms...

  • Compliance Specialist

    3 weeks ago


    Hyderabad, Telangana, India IQ-EQ Full time

    Job DescriptionIQ-EQ is seeking a highly skilled Compliance Specialist to join our team in providing regulatory compliance services to our investment adviser clients. In this role, you will be responsible for supporting and assisting clients with the execution and continuous improvement of their compliance programs.Responsibilities:Assist clients in...


  • Hyderabad, Telangana, India F3328 FTIS (India) Pvt Ltd, FT Park Hyd Branch Full time

    About F3328 FTIS (India) Pvt Ltd, FT Park Hyd BranchAt F3328 FTIS (India) Pvt Ltd, FT Park Hyd Branch, we are a dynamic and diversified asset management firm that offers innovative ways to help our clients achieve their investment goals. Our global teams bring expertise that is both broad and unique.Job Title: Senior Investment SpecialistSalary: ₹900,000 -...


  • Hyderabad, Telangana, India Goldman Sachs Full time

    About Goldman SachsGoldman Sachs is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments, and high net-worth individuals.Founded in 1869, it is one of the oldest and largest...

  • Compliance Officer

    2 weeks ago


    Hyderabad, Telangana, India Goldman Sachs Full time

    About the RoleWe are seeking a skilled Compliance Officer to join our team in Hyderabad. This role will provide office-wide compliance coverage for Federation teams, managing and monitoring risks across multiple teams in the region.As a key member of our compliance team, you will be responsible for:Conducting risk identification, measurement, and...


  • Hyderabad, Telangana, India Sid's Farm Full time

    Job SummaryWe are seeking a highly motivated and detail-oriented Financial Compliance Professional to join our team at Sid's Farm. As a CA Industrial Trainee, you will play a crucial role in ensuring the smooth operation of our financial processes.


  • Hyderabad, Telangana, India F3328 FTIS (India) Pvt Ltd, FT Park Hyd Branch Full time

    At F3328 FTIS (India) Pvt Ltd, FT Park Hyd Branch, we're driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals.Our talented teams...


  • Hyderabad, Telangana, India Goldman Sachs Full time

    About Goldman SachsGoldman Sachs is a leading global investment banking, securities and investment management firm founded in 1869. We maintain offices around the world and are committed to helping our clients, shareholders and communities grow.SalaryThe estimated annual salary for this role is $120,000-$180,000, depending on experience and...


  • Hyderabad, Telangana, India Vitasta Consulting Pvt Ltd Full time

    **Job Title:** Strategic Equity Investment Advisor Vitasta Consulting Pvt Ltd is a renowned consulting firm seeking an experienced Equity Derivatives Specialist to join our team. We are looking for a skilled professional with in-depth knowledge of currency and commodity markets, who can effectively advise High Net Worth Individual (HNI) clients on...


  • Hyderabad, Telangana, India IQ-EQ Full time

    Job Overview">We are seeking a highly motivated Regulatory Compliance Associate to join our team at IQ-EQ. As a key member of our compliance team, you will be responsible for supporting and assisting investment adviser clients in providing regulatory compliance services.">Key Responsibilities">You will be working closely with leading private equity and hedge...


  • Hyderabad, Telangana, India LMV Investment Services Pvt Ltd Full time

    We are seeking a highly skilled Chief Financial Analyst to join our team at LMV Investment Services Pvt Ltd.The estimated annual salary for this position is ₹2,500,000 - ₹3,500,000 depending on experience and qualifications.As a key member of our financial team, you will be responsible for analyzing financial statements and periodicals, as well as...