Consultant, Inv Compliance

Job Description

About Northern Trust:Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world s most sophisticated clients using leading technology and exceptional service.Working with Us:As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve! We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018. We d love to learn more about how your interests and experience could be a fit with one of the world s most admired and ethical companies. Build your career with us and apply today.ROLEIRAS TEAMThe IRAS team within Bangalore currently has approximately 250 staff members which are expected to grow further by the end of 2019. The team in Bangalore equate to around over 48% of the global IRAS staff and the largest in actual absolute staff numbers.The Bangalore team is split into supporting the three regions where Northern Trust has clients. The team provides services covering performance measurement, compliance monitoring, risk measurement, data integrity and index data oversight.ROLE The Northern Trust Compliance monitoring process assists the investment program manager in monitoring compliance to investment guidelines on a daily basis, making it easy to monitor investment portfolios that are nearing or have breached established guidelines.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), Prospectuses etc To be able to code portfolio guideline on Compliance systems, monitor and review/analyse - Investment Compliance. 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 regulations Knowledge on advanced Excel and interest in writing Excel macros to creating custom reports using VBA, and/or Business Objects. Knowledge on Charles River platform including core Charles River pre and post-trade compliance and non-Charles River trading compliance. 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.PRINCIPAL RESPONSIBILITIESThe principle responsibilities of the Compliance Technical Co-ordinator will include, but may not be limited to, the following; Completion of final deliverables with 100% accuracy and timeliness Adherence to procedures and SLA s Identifies and manages resolution of service delivery root causes Ability to act as a process expert and own and resolve complex queries and issues not only of self but also for the immediate sub process Extensive relationship building and strong interactions with all related departments and Middle Offices Build and maintain strong relationships with all stakeholders. Train and mentor new hires on the process Review 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 profiles are kept up to date at all times Lead and implement process improvements Act as subject matter expert for NT s Compliance Product offering Engage new client implementationsCORE COMPETENCIESCommunication (presentation skills, listening skills, oral communication skills, Networking) Self-management (adaptability and resilience, learning behaviour, integrity and ethics) Thinking (creative 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)ExperienceOverall industry experience of 6+ years (inclusive of 2 years in the current role).Graduate and above A minimum of 5+ years of experience for Associate Consultant and 7+ years of experience for Consultant in Investment Compliance domain Good attention to detail, analytical and have strong communication skills Must have strong working knowledge of the firm, industry and technology Maintain and deepen a strong proficiency in Microsoft Applications (Outlook, Excel and Word),

Keyskills :
cash flowadvanced exceldata integritycustom reportsservice deliveryrisk measurementasset allocationfinancial marketsfinancial servicesrelationship buildinginvestment management