Investment Compliance Analyst

3 days ago

Mumbai, Maharashtra, India Decimal Point Analytics Full time ₹ 9,00,000 - ₹ 12,00,000 per year

We are seeking a
detail-oriented and analytical Investment Compliance Analyst
to join our team. The ideal candidate will have a strong understanding of investment instruments and the ability to interpret and apply investment guidelines effectively. This role requires hands-on experience in investment compliance functions, including coding and post-trade monitoring, using leading industry solutions.

Key Responsibilities

  • Investment Compliance Monitoring:
    Conduct coding and post-trade compliance checks to ensure adherence to investment guidelines and regulatory requirements.
  • Guideline Interpretation:
    Analyze, interpret, and implement investment guidelines for various instruments, ensuring alignment with client and regulatory standards.
  • Compliance Tools Management:
    Utilize platforms such as
    Sentinel, Aladdin, Bloomberg AIM, or Charles River Development (CRD)
    for compliance processes.
  • Reporting and Documentation:
    Prepare accurate compliance reports and maintain thorough documentation for audit and client purposes.
  • Collaboration:
    Work closely with portfolio managers, risk management teams, and other stakeholders to address compliance issues and ensure timely resolution.
  • Process Optimization:
    Continuously identify and implement improvements in compliance processes and procedures.

Key Competencies

  • Investment Instruments Knowledge:
    Strong understanding of equities, derivatives, and fixed-income instruments.
  • Analytical Skills:
    Ability to apply logical reasoning and interpret complex investment guidelines.
  • Technical Expertise:
    Proficiency with at least one compliance platform (
    Sentinel, Aladdin, Bloomberg AIM, or CRD
    ).
  • Microsoft Office Proficiency:
    Strong working knowledge of Excel, Word, and other MS Office applications.
  • Communication Skills:
    Excellent written and verbal communication abilities to convey compliance matters effectively to diverse stakeholders.

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