Investment Compliance Specialist
3 days ago
Job Title: Investment Compliance Specialist
Location: Gurgaon, India
Estimated Salary: ₹800,000 - ₹1,200,000 per annum
About T D Newton & AssociatesWe 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.
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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