
Investment Guidelines Specialist
2 days ago
The Investment Compliance team is responsible for ensuring all investments adhere to regulatory and client guidelines.
Key Responsibilities:
- Extracting, analyzing, and coding client, regulatory, and internal investment guidelines on various compliance systems.
- Performing daily reviews of post-trade incidents, researching potential breaches during trading, and collaborating with analysts and portfolio management teams to ensure portfolios comply with all guidelines.
- Identifying gaps in existing coding and suggesting enhancements.
- Providing guidance to junior team members and sharing best practices to help them develop their skills quickly.
Requirements:
- Possess an MBA - Finance or CFA, Law, or Compliance-related qualification.
- Hold Capital Markets knowledge/NCFM certifications as a plus.
- Demonstrate a sound understanding of investment instruments like equities, derivatives, and fixed income instruments.
- Exhibit strong interpretational and logical reasoning skills to comprehend investment guidelines.
- Have experience in Investment Compliance functions including coding and post-trade monitoring mandatory.
- Experience in one of the following solution providers required: Sentinel, Aladdin, Bloomberg AIM, Geneva.
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