Analyst - Investment Compliance - BFSI

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. This role would also provide support as required to Americas IC teams, in accordance with relevant regulations (like: 1940 Act etc.) and fund-specific investment restrictions as contained in the prospectus or investment management agreement. This role requires applicable IC related skills (experience in rule coding, rule testing, post trade monitoring and allied reporting) to be effective.

- 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 intermediary to complex queries from team members and report to manager for any escalation.

- Assist in Compliance related projects and initiatives.

Working Timings : Timing would be primarily aligned to Americas Region i.e. 5:30pm to 2:30am IST however this is subject to change based on business requirement from time to time. Also, day light saving would have an effect on the timings.