RESPONSIBILITIES:-

• Address day to day compliance alerts/warnings in batch monitoring related to trading strategies and the application of technology related or manual controls created and applied during this process

• Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to positions and transactions, identifying breaches and following up with respective teams (i.e. Regional Compliance, Portfolio Manager, etc.) to ensure rectification

• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements

• Maintaining the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position

• Assist in resolving queries from regional compliance team and Front Office on compliance matters

• Assist with ongoing review of relevant processes and procedures to ensure best practice

• Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership

• Conduct forensic, 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 compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls

• Assist in Compliance related projects and responsibilities

• Effectively find solutions to compliance issues as they arise

WORK EXPERIENCE: 

• Work experience of 2-4 years required including relevant work experience with an investment advisor or mutual fund group in Compliance or regulatory environment. Hands on rule coding experience would be given preference.

• Knowledge of and experience with Equity Products required, including UCITS Funds, Institutional, ETFs and U.S. Retail Mutual Funds. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.

• Experience with regulatory environments such as UCITS, SFC, FCA, SEC, and ERISA would be an added advantage.

SKILLS :

• Good written and verbal communication skills

• Good interpersonal and strong analytical skills

• Strong attention to detail

• Shall be a good team player

• Shall be open to work flexible hours

• Proficiency on MS Office suite of applications

• Familiarity with trading systems and compliance components such as Charles River, Aladdin, Bloomberg or LZ Sentinel would be given preference

FORMAL EDUCATION:(minimum requirement to perform job duties)

• B. Com / M. Com / MBA /CA /CS / Degree in Commerce/Finance