Recruiter at Credence HR Services
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Vice President - Investment Compliance - Banking (11-20 yrs)
Vice President - Investment Compliance
Hiring for one of the investment banks in Bangalore for a Vice President level into Investment Compliance.
Scope & Responsibilities:
1. New account coding, reviews & revisions including onboarding activities.
2. Review new data analytics and update compliance platforms
3. Understand and set up rules as per rating agencies
4. Identification of coding issues.
5. Maintenance of Legal & Compliance approved & restricted lists.
6. Counterparty maintenance.
7. Work on Rule coding standardization across supported regions.
8. Perform periodic reviews of account coding to ensure accuracy & consistency.
9. Setting up trading brokers and counterparty Limits, exposure as per IMA
10. Evaluate coding accuracy & communicate in case of any discrepancy.
11. Partner with the monitoring team to reduce false breaches and manually monitor guidelines.
12. Lead Governance meetings and stakeholder management
13. Manage custody and broker relationships
14. Lead local and global Projects
15. Drive efficiency via Intelligent Automation tools.
16. Product Lead and People Management
1. 11+ years of work experience in Portfolio Guidelines Coding/ Monitoring.
2. 7+ years in people management role & 2+ years of project management.
3. Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
4. Expertise in the 1940 Act, UCITS Regulations or ERISA will be added advantage
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