Investment Compliance Specialist

3 days ago


Gurgaon, Haryana, India T D Newton & Associates Full time

Job Title: Investment Compliance Specialist

Location: Gurgaon, India

Estimated Salary: ₹800,000 - ₹1,200,000 per annum

About T D Newton & Associates

We are a leading financial services firm with a strong commitment to excellence. Our team of experts provides unparalleled support to clients across various industries.

As a member of our Specialty Finance investment team, you will play a critical role in ensuring compliance with regulatory requirements.

Key Responsibilities
  • Analyze and interpret investment guidelines to develop logic-based rules for automated monitoring systems.
  • Deliver daily, monthly, and quarterly compliance reports to the PM team, highlighting new violations across all investment policies.
  • Support the onshore team by assisting with post-trade compliance monitoring activities across all investment strategies.
  • Identify data governance and reconciliation issues.
Qualifications

To succeed in this role, you should have:

  • Bachelor's degree with a preference for an advanced degree or progression towards CFA/FRM/CAIA.
  • At least 1 year of experience in investment compliance monitoring with exposure to rule coding.
  • Knowledge of guideline monitoring or coding in compliance systems, such as Charles River, Bloomberg, LZ Sentinel, Aladdin, or Clearwater Analytics.
  • Experience querying databases and analyzing large datasets is a plus.


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