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26/06 Sarita Chauhan
Senior Researcher at New Era India Consultancy Pvt. Ltd

Views:5011 Applications:138 Rec. Actions:Recruiter Actions:6

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

Bangalore/Mumbai/Navi Mumbai Job Code: 713576

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.

JD : 

- 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.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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