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24/11 Sadaf Shaikh
Recruiter at Credence HR Services

Views:371 Applications:53 Rec. Actions:Recruiter Actions:5

Vice President - Investment Compliance - Banking (11-20 yrs)

Bangalore Job Code: 1009531

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

Minimum Requirements:

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

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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