AWM_Operations_Guidelines Associate

Job Description

Job TitleAM Guidelines Sr. AssociateProcess Overview Portfolio Compliance: Coding & Monitoring, Trade Surveillance, Alert Management.AM Guidelines team supports portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. Coding involves setting up client & compliance regulations in systems to enable effective monitoring of guidelines. Monitoring requires managing the alerts, breaches generated pre/ post trade as a result of trades/ non-trading actions and communicating effectively with various stakeholders.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.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.Lead Governance meetings with stakeholdersParticipate in local and global ProjectsProduct Lead and People ManagementPerformance 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 Requirements9-11 years of work experience of Portfolio Guidelines Coding/ Monitoring.5+ years in people management role.Expert level skills 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.People & performance management.Technical SkillProficiency level 1 - Beginner, 2 Intermediate, 3 - AdvancedPortfolio Management - 3Fixed Income, Equity, Liquidity, ETFs, Multi Asset Solution, BETA - 3Portfolio Compliance Coding/ Monitoring - 3Bloomberg - 3Investment Strategies - 2Sentinel/ Charles River/ Aladdin (Compliance)/ SimCorp Dimension/ ThinkFolio - 3Interpretation of Legal Language from Client Guidelines - 31940 Act, UCITS Regulations - 2Project Management - 2People Management - 2ShiftAPAC/ EMEA/ North America,

Keyskills :
front officesimcorp dimensionproject managementtrade compliance1940 actpeople managementdata analyticsfixed incomemachine learningclient servicesanalytical reviewdata analysisportfolio managers