Business Trainee

0 - 2 years

2 - 4 Lacs

Posted:1 day ago| Platform: Naukri logo

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Work Mode

Work from Office

Job Type

Full Time

Job Description

Your Role
  • Daily Monitoring of investment restrictions and guidelines.
  • Learn and practice rule coding and testing in Order Management System (OMS).
  • During normal day-to-day operation, responsible for identifying any unusual or potential breach through transaction activity and reporting and/or escalating in accordance with the guidelines detailed in relevant operating procedures.
  • Help in preparing documentation to support reviews conducted and to substantiate and demonstrate adequate processes / controls to meet SEC / regulatory requirements and ensure compliance with all policies and procedures.
  • Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls
  • Assist in addressing day to day compliance issues related to trading strategies and the application of technology related controls created and applied within this process
  • Collaborate with global legal and compliance staff as required
  • Effectively find solutions to compliance issues as they arise
  • Respond to basic, intermediary and advanced/complex questions/queries from other teams independently and report to managers for escalation
  • Assist in Compliance related projects and responsibilities and bring efficiencies in the process through automations or implementation of enhanced controls
  • Present learnings to Compliance team from time to time
The Experience You Bring
  • 0-2years of related work experience in Asset Management Industry. Knowledge of financial products and / or programming language(s) will be added advantage.
  • Experience with regulatory environments such as UCITS, SFC, FCA, SEC, and ERISA would be an added advantage.
  • Excellent communication and interpersonal skills
  • Strong analytical skills and attention to detail
  • Ability to work both independently and as well as a team
  • Effective computer skills
  • Flexible and adaptable attitude
  • Proficiency on MS Office suite of applications
Academic requirements
(Minimum requirement to perform job duties)
MBA Finance or any professional qualification with finance as the major Specialization.

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