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Job Description

Your Team

Investment Compliance is a sub function of Global Compliance team. Investment Compliance is part of Center of Excellence (CoE) and provides necessary assistance to Global Investment Compliance (IC) function from Hyderabad office.  This role would support regions in accordance with relevant regulations and fund-specific investment restrictions as contained in the prospectus or investment management agreement. This role requires applicable IC related skills (post trade monitoring, rule coding, rule testing, and allied reporting) to be effective.

Your Role

• Daily Monitoring of investment restrictions and guidelines.
• Learn and practice rule coding and testing in Order Management System (OMS).
• During normal day-to-day operation, responsible for identifying any unusual or potential breach through transaction activity and reporting and/or escalating in accordance with the guidelines detailed in relevant operating procedures.
• Help in preparing documentation to support reviews conducted and to substantiate and demonstrate adequate processes / controls to meet SEC / regulatory requirements and ensure compliance with all policies and procedures.
• Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls
• Assist in addressing day to day compliance issues related to trading strategies and the application of technology related controls created and applied within this process
• Collaborate with global legal and compliance staff as required
• Effectively find solutions to compliance issues as they arise
• Respond to basic, intermediary and advanced/complex questions/queries from other teams independently and report to managers for escalation
• Assist in Compliance related projects and responsibilities and bring efficiencies in the process through automations or implementation of enhanced controls
• Present learnings to Compliance team from time to time

The Experience You Bring

• 0-2years of related work experience in Asset Management Industry. Knowledge of financial products and / or programming language(s) will be added advantage.
• Experience with regulatory environments such as UCITS, SFC, FCA, SEC, and ERISA would be an added advantage.
• Excellent communication and interpersonal skills
• Strong analytical skills and attention to detail
• Ability to work both independently and as well as a team
• Effective computer skills
• Flexible and adaptable attitude
• Proficiency on MS Office suite of applications

Academic requirements

(Minimum requirement to perform job duties)

MBA Finance or any professional qualification with finance as the major Specialization.