Investment Compliance role with Leading Asset Management Company

Roles and Responsibilities

Investment Compliance role with Leading Asset Management Company Roles & Responsibility:- Perform the review of regulatory and client guidelines to ensure accuracy
and efficiency of existing rules coded and/or to code relevant rules on order
management system
Regular Rule maintenance on Order Management System (OMS)
application Aladdin
Conduct Account Mapping / Review viz a viz applicable rule
Prepare documentation to support reviews conducted and to
substantiate/demonstrate adequate processes/controls in coding rules on
order management system
Address compliance alerts/warnings (mainly overnight compliance) related
to trading strategies and the application of technology related or manual
controls created and applied during this process
Perform review of portfolio transactions and monitor compliance investment
restrictions as they apply to holdings and transactions, identifying breaches
and following up with relevant stakeholders to ensure rectification
Assist in resolving queries with regional compliance teams
Assist with ongoing review of relevant processes and procedures to ensure
best practice
Prepare/support Analytics for Investment Compliance function to Executive
Compliance Leadership
Interact with members of regional and global compliance teams to assess,
document, monitor, report, develop, coordinate, and implement various
compliance monitoring activities, ongoing testing and related controls.
Act as subject matter expert in resolving complex situations in day-to-day
tasks and mentor other colleagues in team
Assist in Compliance related projects and initiatives.
Effectively find solutions to compliance issues as they arise.
Provide guidance and training to new team members to take different
responsibility.Location:- Hyderabad