Managing Director at Edge In Asia Recruitment Private Limited
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Senior Professional - Asset Management Guidelines Team - Investment Bank (6-11 yrs)
Exciting opportunity with one of the leading Investment Bank to hire a strong Senior professional for its Asset Management - Guidelines team in India.
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.
Some of the key responsibilities will include:
- Coding client and regulatory rules on compliance platforms.
- Setting up strategy benchmark and client approved security List by leveraging machine learning tools for standard rule set ups
- Performing analytical review of Investment Guidelines provided by investors and institutions.
- Ensure investment of portfolios is per client guidelines, internal policies & procedures and in compliance with all relevant regulatory requirements.
- New account coding, reviews & revisions including on-boarding activities
- Post-trade violation investigation & resolution.
To be eligible for this role you will require:
- Analytical & Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills. Team needs to understand financial instruments which are being traded by Portfolio Managers to code guidelines or to perform secondary research.
- Detail Orientation: Function is critical from an impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes.
- Communication (Spoken - Assertiveness & Written): Need to communicate with Front Office (Portfolio Managers), Onshore Leads, Client Services on need basis to ensure correct interpretation by the coding team & to confirm client guideline breaches are understood by Front Office for necessary correction of the trades. Portfolio breaches need to be explained with requisite details over the email.
- Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management.
- Individual contributor & effective team player. Can be in a people management role based on requirement.
- 6-11 years of work experience of Portfolio Guidelines Coding/ Monitoring.
- Expert level skills 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.
Please contact Anita Shah and email your cv directly in word format with job reference number: JO0000003695 to banking-India@theedgeinasia.com
Please note that due to the high number of applications only shortlisted candidates will be contacted. If you do not hear from us in the next 5 business days we regret to inform you that your application for this position was unsuccessful.