Strategic Investment Compliance Specialist

1 day ago


Mumbai Mumbai City Navi Mumbai, India beBeeCompliance Full time US$ 90,000 - US$ 1,20,000
Job Description

We are seeking a Compliance Professional to establish and enforce investment restrictions and limits in line with regulatory requirements and fund mandates. This role is responsible for resolving pre- and post-trade compliance exceptions, analyzing repetitive system alerts, and collaborating with various teams to ensure appropriate limit monitoring.

Key Responsibilities:
  • Investment Restriction Framework: Develop and implement investment restrictions and limits in accordance with regulatory requirements, fund mandates, and applicable policies.
  • Exception Management: Resolve pre-trade and post-trade compliance exceptions generated by systems during the order management process.
  • Limit Monitoring: Maintain and enforce internal threshold limits according to applicable regulations and address various information requirements.
  • Alert Analysis: Analyze and address any repetitive alerts or warnings generated by the system to assess the need for reassessment of internal thresholds.
  • Cross-functional Collaboration: Collaborate with Portfolio Managers, Technology, and Compliance teams to ensure appropriate limit monitoring.
  • System Onboarding: Take an active role in ensuring the smooth onboarding of the monitoring framework.
Requirements:
  • Proven Experience: Proven experience in investment compliance and regulatory requirements.
  • Strong Analytical Skills: Strong analytical skills to analyze system alerts and resolve compliance exceptions.
  • Excellent Communication Skills: Excellent communication and collaboration skills to work with Portfolio Managers, Technology, and Compliance teams.
  • Order Management System Experience: Experience with an order management system like Aladdin is a plus.
  • Qualification: Bachelor's degree in Finance, Business, or a related field, or equivalent experience.


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