Description of Functions :

Coding :

- Annotation/Interpretation of Investment management Agreement/Prospectus/ SAI / Delegate Sleeve Agreements

- Scheduling the Annotation meeting with Desk/IS/PDs to get their buy ins on Interpretation

- Coding client and regulatory rules on compliance platforms.

- Rule Testing & Standardization

- Counterparty and broker setups for trading

- Setting up strategy benchmark and client approved security List

- Leveraging Machine learning tools for standard rule setups

- Performing analytical review of Investment Guidelines provided by investors and institutions.

- Partner with various operations team to improve data availability and overall quality of underlying data.

Scope & Responsibilities :

Coding :

- New account coding, reviews & revisions including onboarding activities.

- Review new data analytics and update compliance platforms

- Understand and setup rules as per ratings agencies

- Identification of coding issues.

- Maintenance of Legal & Compliance approved & restricted lists.

- Counterparty maintenance.

- Work on Rule coding standardization across supported regions.

- Perform periodic reviews of account coding to ensure accuracy & consistency.

- Setting up trading brokers and counterparty Limits, exposure as per IMA

- Evaluate coding accuracy & communicate in case of any discrepancy.

- Partner with monitoring team to reduces false breaches and manually monitored guidelines.

- Lead Governance meetings with stakeholders

- Participate in local and global Projects

- Product Lead and People Management

Performance Areas & % Time :

- Workflow management.

- Adherence to time-bound SLA for all Coding.

- Generate periodic Metrics and KPI

- Perform manual checks as per tests agreed with Risk & Front Office.

- There is no tolerance to errors - non-completion or incorrect action by Guidelines team may lead to Loss and/or Client impact.

- Portfolio manager query emails must be reverted on the same day.

Minimum Requirements :

- 3-9 years of work experience of Portfolio Guidelines Coding/ Monitoring.

- 5+ years in people management role.

- Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.

- Professional level understanding of 1940 Act, UCITS Regulations or ERISA will be added advantage.

Key Competencies:

- Analytical & Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills. Team 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.

- Communication (Spoken - Assertiveness & Written): Need to communicate with Front Office (Portfolio Managers), OnshoreLeads, Client Services on need basis to ensure correct interpretation by the coding team & to confirm client guideline breaches are understood by Front Office for necessary correction of the trades. Portfolio breaches need to be explained with requisite details over the email.

- Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management.

- People & performance management.

Technical Skill :

Proficiency level 

1 - Beginner, 

2 - Intermediate, 

3 - Advanced

- Portfolio Management - 3

- Fixed Income, Equity, Liquidity, ETFs, Multi Asset Solution, BETA -3

- Portfolio Compliance Coding/ Monitoring-3

- Bloomberg -3

- Investment Strategies - 2

- Sentinel/ CharlesRiver/ Aladdin (Compliance)/ SimCorp Dimension/ ThinkFolio -3

- Interpretation of Legal Language from Client Guidelines -3

- 1940 Act, UCITS Regulations -2

- Project Management - 2

- People Management - 2

Shift : APAC/ EMEA/ North America

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