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Associate, Compliance & Control Representative I

Associate, Compliance & Control Representative I

BNY

2 - 7 years

8 - 9 Lacs

pune

Posted:1 day ago| Platform:

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Skills Required

analytical skills front office data analysis coding finance trade compliance microsoft financial services fixed income securities

Work Mode

Work from Office

Job Type

Full Time

Job Description

In this role, you'll make an impact in the following ways:

Insight Investment is seeking an Associate (Compliance Control) to join the Guideline Management team in Pune. The successful candidate will manage pre- and post-trade alerts in ThinkFolio, closely communicate with Fund Managers, Traders and other investment professionals across the firm to ensure funds are within their investment guidelines. The role involves close collaboration with senior team members in Pune and London and contributing to guideline-related efforts, process improvements, and enhancing technical expertise in ThinkFolio.

Monitor daily post-trade batch alerts and promptly notify the front office and relevant business units.
Collaborate with senior team members to verify accurate interpretation and coding of rules.
Respond to client guideline queries for post trade team accurately and efficiently.
Produce monthly and quarterly compliance attestations within required deadlines.
Support fund managers with ad-hoc queries related to pre-trade warnings from compliance systems.
Engage with IT to evolve systems and lead guideline-related projects.

To be successful in this role, we're seeking the following:

Strong academic background with a degree from a reputable institution.
Excellent communication and analytical skills for problem-solving.
Advanced proficiency in Microsoft Word, PowerPoint, and Excel, with the ability to build reports for data analysis.
Proactive and self-motivated with a commitment to promoting a positive compliance and risk culture.
Solid understanding of fixed income securities, including derivatives.
Strong sense of ownership and accountability for role responsibilities.
Minimum of 6months to 2 years of post-trade monitoring experience is preferred, but not mandatory.
Experience in monitoring pre and post-trade compliance using ThinkFolio, Sentinel, Charles River or similar OMS

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Associate, Compliance & Control Representative I