Senior Associate - Investment Compliance

- Investment compliance team is responsible for implementing controls and processes which will ensure that all investments in various portfolios are adhering to regulatory as well as client issued guidelines.

- The incumbent will primarily be responsible for reading investment management agreements and extracting, analyzing, coding of client, regulatory and internal investment guidelines on various compliance systems like Sentinel, Aladdin, AIM etc.

- The incumbent will also be responsible for performing daily review of post trade incidents, researching any potential breach during trading, liaising with onshore analysts and portfolio management teams to ensure portfolios are complying to all guidelines.

- Associate of the investment compliance team will be an expert in the process and should be able to perform the task with minimal support of senior team members.

- The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster.

Professionals in this role will:

- Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc.

- Have sound understanding of different trading strategies.

- Have thorough understanding of the client's IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries.

- Understand different regulatory frameworks governing investments (SEBI FPIs, UCITs, 1940's act etc.)

- Have frequent interactions with business groups including Portfolio Management, Trading, Legal and Risk

Functional Responsibilities:

- New account on-boarding activities.

- Guideline reviews and account coding

- Identify gaps in existing coding and suggest enhancements.

- Perform daily review of post trade incidents and perform thorough investigations to identify root cause of the failure.

- Liaison with portfolio managers, client relationship managers and ensure portfolio is adhering to all guidelines.

- Handle queries of junior team members and help them learn the process.

- Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team.

- Work on list updates which includes firm wide restricted list updates as well as client specific lists.

- Client certifications and attestations

- Perform checks on non codeable guidelines.

- Work on projects as required.

Qualifications:

- MBA - Finance / CFA, Law, or Compliance related qualification.

- Capital Markets knowledge/NCFM certifications, preferred.

Experience:

- 3 - 6+ years of experience in BFSI

- At least 2+ years of experience in investment compliance

- Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc.

- Sound interpretational & logical reasoning skills to comprehend investment guidelines.

- Strong Microsoft Office knowledge is required.

- Experience in Investment Compliance functions including coding and post-trade monitoring is mandatory.

- Experience in one of the following solution providers is required: Sentinel, Aladdin, Bloomberg, AIM, Geneva.

Nature or purpose of interaction:

- Develop healthy working relationship with onshore analysts and actively share knowledge.

- Seek clarifications on guidelines, rules coding, post trade incident treatment as required.

- Understand the requirements of various projects. Migrate work from client locations.

- Timely escalation of guideline violations

- Seeking clarification on guidelines as required.

- Request for clarification on nature of trades and time of execution