Manager/AVP - Investment Guidelines

Process Overview

Portfolio Compliance: Coding & Monitoring, Trade Surveillance, Alert Management - Role involves setting up client & compliance regulations in systems to enable effective monitoring of guidelines. Monitoring requires managing the alerts, breaches generated pre/ post trade as a result of trades/ non-trading actions and communicating effectively with various stakeholders.

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.

- New account coding, reviews & revisions including on-boarding 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.

- Periodic Governance with stakeholders

- Participate in local and global Projects

- Process/ system enhancements along with regression testing

Minimum Requirements

- 4-10 years (Manager) & 8 to15 years (AVP) of work experience of Portfolio Guidelines Coding/ Monitoring.

- Professional expertise with 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.

Technical Skill

- Portfolio Compliance Coding/ Monitoring

- Bloomberg

- Sentinel/ Charles River/ Aladdin (Compliance)/ SimCorp Dimension/ ThinkFolio

- Interpretation of Legal Language from Client Guidelines

- 1940 Act, UCITS Regulations

- MS Excel