Domain : Asset Management India Guidelines
Brief :
Portfolio Compliance : Coding & Monitoring, Trade Surveillance, Alert Management.
AM Guidelines team supports portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. Coding 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.
Job Description :
- Coding client and regulatory rules on compliance platforms.
- Rule Standardization
- 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.Annotation of Investment management Agreement
Monitoring :
- Monitoring investment breaches & tracking down root causes
- Liaison with Portfolio Managers & end-clients ensuring complete adherence to Investment Guidelines.
- Ensure investment of portfolios is per client guidelines, internal policies & procedures and in compliance with all relevant regulatory requirements.
- Leverage Portfolio analytical tools and perform durations and weightage calculations for complex rules
- Analysis & Interpretation of investment guidelines related to Equity, Fixed Income, BETA, ETF, Funds, Hedge Fund Portfolios & Derivatives.
Scope & Responsibilities :
Coding :
- 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.
- Drive efficiency via Intelligent Automation tools.
- Product Lead and People Management
Monitoring :
- Additional review of regulatory breaches around UCITS and 1940 ACT regulations
- Classification of Fund Portfolio investments
- Manual test execution as per defined periodicity.
- Perform Annual account review
- Coordinating with Portfolio managers and Investment specialists for fund breaches
- Execute Client service group duties and coordinate between various portfolio managers
- Lead Governance meetings and stakeholder management
- Manage custody and broker relationships
- Lead local and global Projects
- Drive efficiency via Intelligent Automation tools.
- Product Lead and People Management
Candidate should have :
- 3-15 years of work experience of Portfolio Guidelines Coding/ Monitoring.
- 3+ years in people management role & 2+ years of project management.
- Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
- Expertise of 1940 Act, UCITS Regulations or ERISA will be added advantage.
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