Investment Compliance
2 weeks ago
Role overview:
. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry best practices. Our mission is to support our clients - investment process by providing market leading services across the investment risk, return, analytics and post-trade investment compliance spectrum.
As a member of Investment Information Services (IIS) function, an individual is exposed to a wide gamut of financial products, including Equities, Fixed Income securities and Complex Assets. He/she is responsible for interpreting guidelines, building investment rules, investigation of potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions.
Job Duties and Responsibilities:
Core functional tasks
Interpret guidelines & investment mandates to build logic-based rules for compliance monitoring. Understand client requirements on prospectus / rule changes and implement them on the platform. Meticulous root-cause analysis of investment exceptions which includes analysis of portfolio holdings, composition, historical transactions & data to verify compliance. Closure of exceptions on the compliance platform through communication with the client/fund manager for true exceptions and upstream teams for data / coding gaps. Prepare & deliver manual regulatory and client reports. Stay abreast on regulatory developments and industry trends related to post-trade compliance, providing insights and recommendations to management. Collaborate with the client to review changes in post trade monitoring regulations worldwide and implement standard set of regulatory rules. Client Mailbox monitoring and ensuring all queries are resolved with a sense of urgency and rule coding requests are being routed to be worked upon per timelines. Interface with Controls, Audit, and risk teams to review and analyze all process related controls.Client Engagement
Participate in client calls for service reviews and projects undertaken. Understand client requirements and develop customized solutions on the compliance platform. Participate in new client onboarding process by providing functional expertise. Responsible for keeping clients abreast on any strategic or tactical changes. Support Due Diligence meetings with the clients.Preferred Skills
Product/Process
Extensive experience in post-trade compliance roles within investment banks, asset management firms, or brokerage firms. Working knowledge in guideline coding on compliance systems ., Charles River, Sentinel, Aladdin. Exhibit knowledge of asset management industry including operation of mutual, pension, insurance, and hedge funds. Have an in-depth understanding of complex instruments, fixed income, and equity products. Strong knowledge of global regulatory requirements impacting post-trade activities ., UCITS, IRS, 1940 Act, Money market regs, etc. Outstanding analytical skills to create logic-based investment rules. High standard of accuracy and strong attention to detail. Excellent organization skills – ability to prioritize workloads and adhere to stringent timelines. Experience with automation tools (Alteryx, AI, ML, Python, to create efficiencies will be preferred.Behavioral skills
Excellent communication & interpersonal skills to build trusted relationship with internal stakeholders, regulators, and external stakeholders. Ability to articulate complex issues in a clear and concise manner. Collaborative approach to problem solving. Excellent written communication skills with proven client engagement expertise Ability to think outside the box and challenge the status quo. Proven leadership skills with the ability to effectively manage a team and drive results in a fast-paced environment.Qualifications
Graduate/Post graduate degree with minimum of 8-10 years’ work experience in financial services industry, Mutual fund, Stock broking or related industry Advanced degree or professional certification including but not limited to CA, CPA, CFA, CS, FRM qualifications preferred. Certification course in CRD, SOX, 1940 Act, European regulations preferred. Proficiency in relevant software applications and systems used for post-trade compliance monitoring and reporting.-
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