Compliance Analyst

5 months ago

Hyderabad, India OppenheimerFunds Distributor, Inc Full time

Description

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Your Team
EMEA compliance team takes care of EMEA(UK, LUX, FRT, Ireland, Paris) domiciled accounts that are governed by UCITS guideline. The team is involved in compliance monitoring of prospectus rules, Regulatory rules and other manual tasks as required by the guideline. The team also performs rule coding, rule testing, fund launches and other reconciliation activities relevant for maintaining account/ test details.

Your Role

As an analyst, the person should be able to address day to day compliance alerts/warnings in batch compliance related to trading strategies and the application of technology related or manual controls created and applied during this process

You Will Be Responsible For:

Monitoring investment guidelines of client portfolio and ensuring violations (active & passive) are addressed in a timely manner by informing to the onshore counterparts. Identify and analyze investment restrictions to ensure asset allocation and issuer concentration, industry, sector and security investment limits, Credit quality, Duration and other risk characteristics, leverage restrictions, country and region exposures, industry regulations are in line with the Investment Management Agreement. Onboarding of new clients for investment compliance by understanding the investment restrictions, interpreting the mandate, coding, and testing the restrictions and reporting the exceptions. Ensure the restricted securities are updated in restricted lists on security / issuer level to ensure these are being restricted for trading by the portfolio managers. Exposure to various types of asset classes like Equities, Fixed Income and derivatives and understanding on holding and transaction level checks. Conduct periodic and transactional testing to ensure compliance of the investment manager with all applicable state, federal and self-regulatory agency requirements.  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. Respond to basic and intermediary queries from team members and report to manager for any escalation. Assist in Compliance related projects and initiatives.



The Experience You Bring:
2 to 4 years of work experience in investment compliance with an investment advisor or mutual fund group. Good understanding of capital markets, financial products, and asset management industry.

General Role Profile
• Requires working knowledge on UCITS guideline and CRD application, batch monitoring and breach reporting
• Identifies the problems and relevant issues in straightforward situations, assesses each using standard procedures, and makes sound decisions
• Works within established procedures and policies with direct supervision

Knowledge
• Requires the applications of most of the specific skills needed to perform assigned tasks
• Applies procedures and policies to complete a variety of tasks

Business Acumen
• Understands how the assigned duties relate to others in the Team and how the Team integrates with other Teams

Problem Solving
• Works on assignments that are similar in nature
• Identifies when actions deviate from standard policies and procedures
• Recognizes and solves typical problems that can occur in own work Area by evaluating and selecting solutions from established operating procedures and/or analytical methods

Impact
• Under general supervision, completes tasks of a repetitive or routine nature
• Impacts own and related Team through the quality of work and services provided

Leadership
• Has no supervisory responsibilities
• Manages own workload

Influence and Partnership
• Communicates moderately complex information
• Ensures underlying details are clarified

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

No

Workplace Model


At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least three days a week, with two days working outside an Invesco office. 

Why Invesco

In Invesco, we act with integrity and do meaningful work to create impact for our stakeholders. We believe our culture is stronger when we all feel we belong, and we respect each other’s identities, lives, health, and well-being. We come together to create better solutions for our clients, our business and each other by building on different voices and perspectives. We nurture and encourage each other to ensure our meaningful growth, both personally and professionally. 

We believe in diverse, inclusive, and supportive workplace where everyone feels equally valued, and this starts at the top with our senior leaders having diversity and inclusion goals. Our global focus on diversity and inclusion has grown exponentially and we encourage connection and community through our many employee-led Business Resource Groups (BRGs).

What’s in it for you? 

As an organization we support personal needs, diverse backgrounds and provide internal networks, as well as opportunities to get involved in the community and in the world. 

Our benefit policy includes but not limited to: 

Competitive Compensation  Flexible, Hybrid Work  30 days’ Annual Leave + Public Holidays  Life Insurance  Retirement Planning  Group Personal Accident Insurance  Medical Insurance for Employee and Family  Annual Health Check-up  26 weeks Maternity Leave  Paternal Leave  Adoption Leave  Near site Childcare Facility  Employee Assistance Program  Study Support  Employee Stock Purchase Plan  ESG Commitments and Goals  Business Resource Groups  Career Development Programs  Mentoring Programs  Invesco Cares  Dress for your Day 

In Invesco, we offer development opportunities that help you thrive as a lifelong learner in a constantly evolving business environment and ensure your constant growth. Our AI enabled learning platform delivers curated content based on your role and interest. We ensure our manager and leaders also have many opportunities to advance their skills and competencies that becomes pivotal in their continuous pursuit of performance excellence. 

To know more about us 

About Invesco:

About our Culture:

About our D&I policy:

About our CR program:

Apply for the role @ Invesco Careers :

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