Investment Compliance Specialist

2 days ago

Bengaluru, Karnataka, India beBeeInvestment Full time ₹ 80,00,000 - ₹ 1,50,00,000

Investment Compliance-Compliance Monitoring: An Overview

Job Description:

Our team is responsible for implementing controls and processes to ensure that all investments in various portfolios adhere to regulatory and client guidelines.

The incumbent will primarily be responsible for reading investment management agreements, extracting, analyzing, and coding client, regulatory, and internal investment guidelines on various compliance systems. The incumbent will also perform daily review of post-trade incidents, research potential breaches during trading, liaise with onshore analysts and portfolio management teams to ensure portfolios comply with all guidelines.

Key responsibilities include new account onboarding activities, guideline reviews and account coding, identifying gaps in existing coding and suggesting enhancements, performing daily review of post-trade incidents and thorough investigations to identify root cause of failure, liaison with portfolio managers, client relationship managers, and ensuring portfolio adherence to all guidelines.

  • New account onboarding activities
  • Guideline reviews and account coding
  • Identify gaps in existing coding and suggest enhancements
  • Perform daily review of post-trade incidents and perform thorough investigations to identify root cause of the failure
  • Liaison with portfolio managers, client relationship managers and ensure portfolio is adhering to all guidelines
  • Handle queries of junior team members and help them learn the process
  • Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team
  • Work on list updates which includes firm wide restricted list updates as well as client specific lists
  • Client certifications and attestations
  • Perform checks on non-codeable guidelines
  • Work on projects as required

Required Skills and Qualifications:

MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications preferred. Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc.

Strong 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.

Benefits:

Professional growth and development opportunities. Collaborative and diverse work environment. Competitive compensation package.

Others:

Interested candidates can share their resume at specified location.

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