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Hiring for Asset management

9.00 to 11.00 Years   Bangalore   28 Dec, 2019
The Edge Asia
Job LocationBangalore
EducationNot Mentioned
SalaryNot Disclosed
IndustryRecruitment Services
Functional AreaProduct Management
EmploymentTypeFull-time

Job Description

Process OverviewAM 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.Some of the key responsibilities will include:Coding

  • New account coding, reviews & revisions including on - boarding activities.
  • Review new data analytics and update compliance platforms
  • Understand and setup rules as per ratings agencies
  • Identification 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 IMA
  • Evaluate coding accuracy & communicate in case of any discrepancy.
  • Partner with monitoring team to reduces false breaches and manually monitored guidelines.
  • Lead Governance meetings with stakeholders
  • Participate in local and global Projects
  • Product Lead and People Management
Monitoring
  • Post - trade violation investigation & resolution
  • Classification of Active v/s Passive breach and additional review of regulatory breaches around UCITS and 1940 ACT regulations
  • Classification of Fund Portfolio investments and Manual test execution as per defined periodicity.
  • Perform Annual account review
  • Coordinating with Portfolio managers and Investment specialists for fund breaches
  • Execute Client service group duties and coordinate between various portfolio managers
Performance Areas & % Time
  • Workflow management.
  • Adherence to time - bound SLA for all Coding and New & repeat alerts.
  • Generate periodic Metrics and KPI
  • Perform manual checks as per tests agreed with Risk & Front Office.
To be eligible for this role you will require:
  • 9 - 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.
,

Keyskills :
investment managementcompliance regulations trade compliance1940 act simcorp dimensiontest execution front officedata analytics

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