WAM-Investment Compliance-Senior Professional

Job Summary

Seeking an Investment Compliance professional with strong expertise in Rule coding, financial products and regulations. The role will require eye for detail to capture all compliance requirements and avoid mistakes. The role will also require effective client interactions to build a strong relation.

Role

Investment Compliance - Rule Coding

Experience

7+ Years

Domain

Asset Management, Capital Markets, Compliance, Fixed income, Equity, Derivatives, Regulations

Your Key Responsibilities

• Performing analytical review of Investment Guidelines provided by investors and institutions.
• Annotation/Interpretation of Investment management Agreement/Prospectus/ SAI / Delegate Sleeve Agreements
• Scheduling the Annotation meeting with Desk/IC Leads/PMs to agree on Interpretation
• Coding client and regulatory rules on compliance platforms along with rule Testing
• Counterparty and broker setups for trading Counterparty maintenance.
• Partner with various operations team to improve data availability and overall quality of underlying data.
• Review new data analytics and update compliance platforms
• Understand and setup rules as per ratings agencies
• Identification of coding issues and fix them to avoid false positives.
• Maintenance of Legal Compliance approved restricted lists.
• Perform periodic reviews of account coding to ensure accuracy consistency.
• Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines
• Identify and analyse operations risks related to current and potential business and recommends procedural changes as needed.
• Responsible for decision-making, optimizing processes, resource management, and overseeing team management as needed for task execution.
• Accountable for allocating personnel, supervising team members, assigning tasks, ensuring that the team has the necessary tools and support to succeed in their roles and optimizing and evaluating their performance to meet organizational goals.

Skills and attributes for success

• Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
• Expertise of 1940 Act, UCITS Regulations or ERISA will be added advantage
• Analytical Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills.
• One needs to understand financial instruments which are being traded by Portfolio Managers to code guidelines or to perform secondary research.
• Detail Orientation: Function is critical from an impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes.
• Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management
• Certifications: Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities Investment) are preferred, but certification is not a must for the role

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