Investment Compliance role with Leading Asset Management Company

5 days ago

Hyderabad, India Skill Ventory Full time

Roles and Responsibilities Investment Compliance role with Leading Asset Management Company Roles & Responsibility:- Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded and/or to code relevant rules on order management system Regular Rule maintenance on Order Management System (OMS) application Aladdin Conduct Account Mapping / Review viz a viz applicable rule Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification Assist in resolving queries with regional compliance teams Assist with ongoing review of relevant processes and procedures to ensure best practice Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls. Act as subject matter expert in resolving complex situations in day-to-day tasks and mentor other colleagues in team Assist in Compliance related projects and initiatives. Effectively find solutions to compliance issues as they arise. Provide guidance and training to new team members to take different responsibility.Location:- Hyderabad

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