Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm s culture of compliance. Compliance accomplishes these through the firm s enterprise- wide compliance risk management program. As an independent control function and part of the firm s second line of defense, Compliance assesses the firm s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm s responses to regulatory examinations, audits and inquiries. Youll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
BUSINESS UNIT AND ROLE OVERVIEW:
This is a role on the Asset Management Compliance team helping to provide compliance advisory services covering portfolio management, trading, sales and marketing activity within Asset and Wealth Management Public ( AWM ) and based in Bengaluru. The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to compliance queries from the business, uplift compliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business in compliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity.
EXPERIENCE
- Ability to work as part of a global team as well as act as project lead on various compliance matters
- Familiar with the risk and compliance function of asset management
- Understanding the development and implementation of compliance programs
- Ability to deal with business personnel and deliver good compliance outcomes in time constrained situations
RESPONSIBILITIES
- Provide Compliance support and representation on AWM strategic initiatives
- Review and approval of financial promotion materials
- Provide daily compliance surveillance of AWM portfolios for regulatory requirements and applicable policies and procedures
- Assistance in the production of board reports
- Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
- Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
- Ensure breaches and complaints are logged and cover the compliance aspect of the sign off
- Create compliance training programs
- Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non- UCITS/cross border distribution
- Review and approval of due diligence on third party distributors
- Compliance advisory on new AWM fund launch projects
- Preparation, organization, and delivery of compliance trainings
- Miscellaneous projects as required
QUALIFICATIONS
- 3 years regulatory risk or compliance experience (asset management experience preferred)
- Highly motivated risk and control focused individual with excellent judgment
- Knowledge of investment instruments including derivatives
- General compliance knowledge and familiarity with asset management regulations
- Effective analytical and organizational skills
- Strong verbal and written communication skills
- Ability to handle multiple tasks with attention to detail and work under pressure
- Ability to work both independently and as part of a team
