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Investment Compliance Sr . Associate

5.00 to 10.00 Years   Mumbai City   01 Nov, 2019
StateStreet Global Advisor Pvt Ltd
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaSales / BDFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

About Process

The focus of this role is primarily to support the conversion of investment compliance rules from legacy compliance system (MIG) to Charles River Investment Management (CRIMS), by performing user acceptance testing of the rules, identifying the issues in rule coding and getting those addressed to ensure the client migration from MIG to CRD is seamless.

Key Responsibilities & Experience Range

  • In depth knowledge of regulatory requirements including Investment Company Act of 1940, Internal Revenue Code, UCITS, 2a-7, etc.
  • Preferred experience with and understanding of one or many regulatory body requirements not limited to SEC, IRS, Commodity Futures Trading Commission (CFTC), Undertakings for Collective Investment in Transferable Securities (UCITS), Committee of European Securities Regulators (CESR)
  • Ability to understand and decipher Prospectus, Statement of Additional Information (SAI), Investment Policies, Practices and Procedures, and other client restrictions and translate all requirements
  • Experience required with Rule Coding into post trade investment compliance systems defining logic-based rules and workflow processes
  • Knowledge of all type of investments, including domestic and international securities, equities, fixed income, derivatives, securities holding other constituents or others such as mutual funds, index securities, and other complex securities
  • Advanced Excel skills is a plus (formulas, pivot tables)
  • A background in compliance / regulatory monitoring or financial technology preferred
  • Project management skills (organized, self-motivated and deadline oriented)
  • Ability to build and maintain positive relationships with all levels of management internally within the organization

Qualification & Certifications

  • University degree in Business majoring in Accounting, Finance, or other Financial-related programs
  • Minimum of 5 years in Investment Company compliance experience or related-industry compliance with an emphasis on logic-based rule coding. (Pre or post-trade investment compliance)
  • Certifications: Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities & Investment) are preferred, but certification is not a must for the role

Primary Skills (Must Have)

  • Good knowledge of U.S. Investment Companies Act of 1940 or UCITS
  • Experience required with Rule Coding into post trade investment compliance systems
  • Ability to understand and decipher Prospectus, Statement of Additional Information (SAI), Investment Policies, Practices and Procedures
  • Excellent communication, organization, interpersonal planning, and analytical skills
  • Deadline and detail oriented
  • Demonstrated computer proficiency, including advanced knowledge of MS Excel, as well as problem solving and analytical skills

Secondary Skills (Good to Have)

  • Exposure to Charles River Development (CRD)
  • Coding in Visual Basic Applications (VBA
,

Keyskills :
internal revenue codeinvestment company act user acceptance testingvisual basic mutual fundsfixed income data qualitymusic makin

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