04/09 Sarita Chauhan
Senior Researcher at New Era India Consultancy Pvt. Ltd

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Manager - Compliance/Guideline Monitoring - Investment Bank (3-15 yrs)

Bangalore Job Code: 739392

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.

Women-friendly workplace:

Maternity and Paternity Benefits

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