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Senior Associate/ Delivery Lead

4.00 to 8.00 Years   Bangalore   24 May, 2024
LIVE CONNECTIONS PLACEMENTS PVT LTD
Job LocationBangalore
EducationNot Mentioned
SalaryRs 10 - 20 Lakh/Yr
IndustryBFSI
Functional AreaEquity ResearchInvestment Banking / M&A
EmploymentTypeFull-time

Job Description

    We are looking for candidates with experience in Rule Coding- Investment Compliance w.r.t Aladdin/ CRD/Sentinel or any internal tools.seeking candidates with 4-5 years of experience in Investment Compliance with strong communication skills. Experience in Rule Coding, Post Trade monitoring with CRD/Sentinel/ Aladdin will be preferred. The job location is Bangalore.Job Responsibilities:Investment compliance team is responsible for implementing controls and processes which will ensure that all investments in various portfolios are adhering to regulatory as well as client issued guidelines.
    • The incumbent will primarily be responsible for reading investment management agreements and extracting, analyzing, coding of client, regulatory and internal investment guidelines on various compliance systems like Sentinel, Aladdin, AIM etc.
    • The incumbent will also be responsible for performing daily review of post trade incidents, researching any potential breach during trading, liaising with onshore analysts and portfolio management teams to ensure portfolios are complying to all guidelines.
    • Associate of the investment compliance team will be an expert in the process and should be able to perform the task with minimal support of senior team members.
    • The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster.
    Key Responsibilities
    • New account on-boarding activities.
    • Guideline reviews and account coding
    • Identify gaps in existing coding and suggest enhancements.
    • Perform daily review of post trade incidents and perform thorough investigations to identify root cause of the failure.
    • Liaison with portfolio managers, client relationship managers and ensure portfolio is adhering to all guidelines.
    • Handle queries of junior team members and help them learn the process.
    • Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team.
    • Work on list updates which includes firm wide restricted list updates as well as client specific lists.
    • Client certifications and attestations
    • Perform checks on non codeable guidelines.
    • Work on projects as required.
    Qualifications:MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred.

Keyskills :
crdsentinelinvestment compliancerules coding

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