Asset Management Guidelines Team Leader

Job Description

Description of FunctionsCodingAnnotation of Investment management AgreementCoding client and regulatory rules on compliance platforms.Rule StandardizationCounterparty and broker setups for tradingSetting up strategy benchmark and client approved security ListLeveraging Machine learning tools for standard rule setupsPerforming 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.MonitoringMonitoring investment breaches & tracking down root causesLiaison 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 rulesAnalysis & Interpretation of investment guidelines related to Equity, Fixed Income, BETA, ETF, Funds, Hedge Fund Portfolios & Derivatives.Ensure coding accuracy & communicate in case of any discrepancy.Partner with various operations team to improve data availability and overall quality of underlying data.Scope & ResponsibilitiesCodingNew account coding, reviews & revisions including on-boarding activities.Review new data analytics and update compliance platformsUnderstand and setup rules as per ratings agenciesIdentification 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 IMAEvaluate coding accuracy & communicate in case of any discrepancy.Partner with monitoring team to reduces false breaches and manually monitored guidelines.Interactions with stakeholdersProjects as required.Process/ system enhancements along with regression testingMonitoringPost-trade violation investigation & resolutionClassification of Active v/s Passive breachAssistance with Client certifications/ attestations.Additional review of regulatory breaches around UCITS and 1940 ACT regulationsClassification of Fund Portfolio investmentsManual test execution as per defined periodicity.Perform Annual account reviewCoordinating with Portfolio managers and Investment specialists for fund breachesExecute Client service group duties and coordinate between various portfolio managersParticipate in local and projects as required.Process / system enhancements along with regression testing.Performance Areas & % TimeWorkflow management.Adherence to time-bound SLA for all Coding and New & repeat alerts.Generate periodic Metrics and KPIPerform manual checks as per tests agreed with Risk & Front Office.There is no tolerance to errors non-completion or incorrect action by Guidelines team may lead to Loss and/ or Client impact.Portfolio manager query emails must be reverted on the same day.Minimum Requirements2-5 years of work experience of Portfolio Guidelines Coding/ Monitoring.Candidate with 5+ years in-depth understanding of securities reference data, portfolio analysis experience can be considered.Familiar with 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.Key CompetenciesAnalytical & 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.Technical SkillProficiency level 1 - Beginner, 2 Intermediate, 3 AdvancedPortfolio Management - 2Fixed Income, Equity, Liquidity, ETFs, Multi Asset Solution, BETA - 2Portfolio Compliance Coding/ Monitoring - 2Bloomberg - 2Investment Strategies - 2Sentinel/ Charles River/ Aladdin (Compliance)/ SimCorp Dimension/ ThinkFolio - 2Interpretation of Legal Language from Client Guidelines - 21940 Act, UCITS Regulations - 2MS Excel - 3Communication - Spoken & Written 3,

Keyskills :
quality coaching eferencedata testexecution moneymarket policiesprocedures dataanalysis frontoffice 1940act dataanalytics fixedincome