Senior Recruitment Consultant at Quess Corp
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Senior Analyst/Team Lead - Investment Compliance (2-8 yrs)
Hiring for Investment Compliance Lead/Senior Analyst.
- This role requires experience in Rule Coding, Rule Testing, Post Trade Monitoring and Reporting.
- Require total work experience of 2 - 8 years of Investment Compliance experience.
Shift Time: 5.30 PM to 3.30 PM (US Shift)
1. Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded on order management system
2. Regular Rule maintenance on trading application i.e. Aladdin/CRD
3. Conduct Account Mapping / Review viz a viz applicable rule
4. Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes
5. Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process
6. Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification