Analyst - Compliance - Investment Management Firm

Analyst - Compliance MNC Investment Management Firm (3-6 years)

Role : Compliance Analyst

Experience : 2-7 Years

Work Location : Hyderabad (work from office)

Education:

Key Skills reqd: Looking only for Equity/Investment Compliance experts

Working Days : 5

Reporting to : Compliance Manager

About Company : Our client is an US investment management company present in in over 26 countries. They currently manage $1.5 trillion of assets-, with specialized teams that manage investments across asset classes, investment styles and geographies to help meet client needs.

Role:

This position would be part of Center of Excellence (CoE) for Investment Compliance and provide necessary assistance to Global Investment Compliance (IC) function from Hyderabad office. Primary role would be to support Post Trade (Batch) Compliance in accordance with relevant regulations and fund specific investment restrictions as contained in prospectus or investment management agreement.

KEY RESPONSIBILITIES / DUTIES:

1. 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

2. 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

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

4. Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership

5. Excellent communication skills

WORK EXPERIENCE / KNOWLEDGE :

- 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.