Investment Compliance Specialist

1 month ago


Bengaluru, Karnataka, India Acuity Knowledge Partners Full time
About Acuity Knowledge Partners

Acuity Knowledge Partners is a leading provider of bespoke research, analytics, and technology solutions to the financial services sector. Our global network of experts supports over 500 financial institutions to operate efficiently and unlock their human capital.

We foster a diverse, equitable, and inclusive work environment, nurturing talent from various backgrounds.

Job Responsibilities

The Investment Compliance team is responsible for implementing controls and processes to ensure adherence to regulatory and client guidelines.

  • Extract, analyze, and code client, regulatory, and internal investment guidelines on various compliance systems.
  • Perform daily reviews of post-trade incidents, researching potential breaches and liaising with onshore analysts and portfolio management teams.
  • Develop expertise in the process and provide minimal support to senior team members.
  • Handle queries from junior team members, share best practices, and help them learn the process.
Key Responsibilities
  • New account onboarding activities.
  • Guideline reviews and account coding.
  • Identify gaps in existing coding and suggest enhancements.
  • Perform daily reviews of post-trade incidents and investigate root causes.
  • Liaise with portfolio managers, client relationship managers, and ensure portfolios adhere to guidelines.
  • Handle queries from junior team members and help them learn the process.
  • Demonstrate ownership of activities performed and be accountable for overall delivery of work types within the team.
  • Work on list updates, including firm-wide restricted list updates and client-specific lists.
  • Client certifications and attestations.
  • Perform checks on non-codeable guidelines.
  • Work on projects as required.
Qualifications

MBA - Finance, CFA, Law, or Compliance-related qualification. Capital Markets knowledge/NCFM certifications are preferred.

Key Competencies
  • Sound understanding of investment instruments like equities, derivatives, and fixed income instruments.
  • Sound interpretational and logical reasoning skills to comprehend investment guidelines.
  • Strong Microsoft Office knowledge is required.
  • Experience in Investment Compliance functions, including coding and post-trade monitoring, is mandatory.
  • Experience in one of the following solution providers is required: Sentinel, Aladdin, Bloomberg AIM, Geneva.


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