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Job Location | Bangalore |
Education | Not Mentioned |
Salary | Not Disclosed |
Industry | Banking / Financial Services |
Functional Area | General / Other Software |
EmploymentType | Full-time |
Compliance monitoring is client driven and automated, based on the pre-established parameters that the team set. Every day, integrated global and domestic portfolio data is monitored against the pre- established parameters, and in the event that an investment parameter has been breached we are notified by an exception report . Exception Reports are automatically generated for any investment parameters that have been breached.Compliance Monitoring is defined on a client-by-client basis, taking into account individual concerns. Monitoring can be performed on an unlimited number of guidelines on single or consolidated account positions per market, per region, per asset class and/or per security.KNOWLEDGE & SKILLSThe candidate should possess the following skills:To review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA) and convert those to Guidelines into rules for monitoring purpose.To be able to code/define and tailor rules for specified investment mandate on Compliance systems, monitor and review/analyse - Investment Compliance guidelines.Must have excellent working knowledge and experience with Rule building/coding on any Compliance Monitoring applications like Sentinel, Charles River, Miles, etc. and also creation of proof packs.To review systematic feasibility of investment guidelines and provide guidance/expertise on the below:a. Asset allocation and issuer concentration,b. Industry, sector and security investment limitsc. Credit quality and Asset mixd. Duration and leverage restrictionse. Corporate governance and industry regulationsf. ESG RegulationsKnowledge on advanced Excel, Power BI, Power Query, etc.Knowledge on Charles River platform including core Charles River pre and post-trade compliance or any other Compliance monitoring/ trading tools.Knowledge of financial markets, investment instruments and portfolio management strategies.Familiarity with various investment styles, asset classes, strategies for achieving performance goals, benchmarks, and investment related terminology.Knowledge of fixed income and derivatives asset classes.Knowledge on Debt to Capital, Debt to Equity, Dividend Yield, Market Capitalization , Price to Earnings, Price to Book Value, Price to Cash Flow, Price to Sales.Knowledge on MSCI & S&P Global Industry Classification Standard, GICS), and the Industry Classification Benchmark (ICB) sectors.Good knowledge about Bloomberg.Knowledge on SharePoint & JIRA project tracking tool is as added advantage.PRINCIPAL RESPONSIBILITIESThe principle responsibilities of the Compliance Associate Consultant will include, but may not be limited to, the following;Completion of Rule building/coding and proof packs with 100% accuracy and timelinessHandle any feedbacks/change requests on migrations with sense of urgency and deliver at the earliest possible timeAdherence to procedures and SLA sIdentifies and manages resolution of service delivery root causesAbility to act as a process expert and own and resolve complex queries and issues not only of self but also for the immediate sub processExtensive relationship building and strong interactions with all related departments and Middle OfficesBuild and maintain strong relationships with all stakeholders.Train and mentor new hires on the processReview the work performed by other Analysts / Senior Analysts.Help in trouble shooting any requirements/queries within the team.Pro-actively communicate the procedure updates to the team. Ensures that all procedure document/client migration status are kept up to date at all timesLead and implement process improvementsAct as subject matter expert for NT s Compliance Product offeringEngage in new client implementations/ on-boardingCORE COMPETENCIES:Communication (presentation skills, listening skills, oral communication skills)Self-management (adaptability and resilience, learning behaviour, integrity and ethics)Thinking (creative/innovative thinking, decision making, input seeking, logical thinking and solution finding)Administration (planning the day for the team along with the Team Lead, process specialist, quality seeker)Hands on rule coding experience on Charles River platform including pre and post-trade compliance or any other Compliance monitoring/ trading tools.Strong technical know-how.Knowledge on advanced Excel and other Data Analytics tools like Power BI, Power Query, etc.Knowledge on SharePoint & JIRA project tracking tool is as added advantage.QUALIFICATION & EXPERIENCE:Commerce Graduate or MBA (Finance) with at least 6+ years of total experience in related industry (Finance, Capital Markets, Investment Management /Asset Servicing industry)Must have strong working knowledge of the firm, industry and technologyMaintain and deepen a strong proficiency in Microsoft Applications (Outlook, Excel and Word)Should have been a top performer in previous company in very recent year(s)Additional qualifications or certifications in Finance/Project Management/Data Analytics tools preferred (e.g., CA/ CS/ CWA/CFA/ JIRA/Alteryx),
Keyskills :
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