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Associate III - Platform control & Support - PCVM

0 years

0 Lacs

chennai tamil nadu india

Posted:5 days ago| Platform: Linkedin logo

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Skills Required

support monitoring compliance management onboarding query coding trading capture regulations audit training portfolio excel word powerpoint sql communication documentation checks leadership mentoring audits risk assessment data automation

Work Mode

On-site

Job Type

Full Time

Job Description

Role Description

As a Senior Analyst, you will play a key role in delivering a robust control environment and providing support to Investment Teams to ensure effective pre- and post-trade mandate restriction monitoring. This includes overseeing complex tasks, handling ad-hoc requests, and ensuring timely and accurate delivery of daily operational activities in a fast-paced environment.

Key Responsibilities

  • Work within a team responsible for Investment Restriction Compliance Management—violation oversight, onboarding, and query resolution.
  • Oversee daily reviews of overnight violation monitoring; escalate and track issues through to resolution.
  • Partner with Investment Desks, Product, and Client Executives across asset classes on investment guideline matters and pre-trade violation overrides.
  • Maintain broker and “ready-to-trade” coding in Aladdin and assist Trading Desks with related queries and escalations.
  • Deliver and review mandate investment guideline onboarding and change activities, supporting control implementation on the Aladdin platform.
  • Process and capture commitments sourced from IMAs, regulations, or internal teams.
  • Collaborate with internal teams and vendors to ensure best practices and a consistent control environment.
  • Respond to audit, regulator, and client queries, ensuring timely and accurate delivery of responses.
  • Identify process gaps, troubleshoot issues, and communicate risks while proposing effective solutions.
  • Participate in projects and working groups related to new markets, instruments, or mandates, assessing impacts on restrictions monitoring.
  • Coach and mentor junior team members, ensuring training materials and procedures remain current.

Mandatory Skills

  • Strong experience in Investment Restriction Monitoring and compliance processes within Asset Management.
  • Hands-on experience with Aladdin (or equivalent portfolio management systems).
  • Solid understanding of investment guidelines, regulatory compliance, and mandate restriction management.
  • Proficiency in Microsoft Excel; working knowledge of Word, PowerPoint, and SQL.
  • Excellent communication and stakeholder management skills, with proven ability to collaborate across teams.
  • Strong attention to detail and accuracy in reviewing documentation and compliance checks.
  • Demonstrated ability to work under pressure and meet strict deadlines in a fast-paced environment.
  • Proven leadership and mentoring skills, with the ability to support junior colleagues.

Good To Have Skills

  • Knowledge of investment restriction regulations such as UCITS, SFDR, and SDR.
  • Prior involvement in change initiatives or process improvement projects.
  • Experience working with regulatory audits or client visits.
  • Exposure to risk assessment, policy setting, and control frameworks.
  • Familiarity with broader investment products and asset classes.
  • Understanding of data management and automation opportunities in control processes.

Skills

Mandate life cycle,Legal and regulations,Investment Management

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