Compliance Lead

Investment Compliance is a sub function of Global Compliance team. Investment Compliance is part of Center of Excellence (CoE) and provides necessary assistance to Global Investment Compliance (IC) function from Hyderabad office. This role would also provide support as required to EMEA, US, CA and APAC IC teams, in accordance with relevant regulations (like: 1940 Act, UCITS, FCA, COLL, ESMA guidelines, SFC Rules, etc.) and fund-specific investment restrictions as contained in the prospectus or investment management agreement. This role requires applicable IC related skills (experience in rule coding, post trade monitoring and allied reporting) to be effective.

Your Role

• Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded and/or to code relevant rules on order management system
• Regular Rule maintenance on trading application i.e. Charles River Development (CRD)
• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system
• Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process
• Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification
• Assist in resolving queries with regional compliance teams
• Assist with ongoing review of relevant processes and procedures to ensure best practice
• Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership
• Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
• Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
• Act as subject matter expert in resolving complex situations in day-to-day tasks and mentor other colleagues in team
• Assist in Compliance-related projects and initiatives.
• Effectively find solutions to compliance issues as they arise.

SHIFT Timings:

Timing would be primarily aligned to Americas Region i.e. 5:30pm to 2:30am IST, however this subject is subject to change based on business requirement from time to time. Also, daylight saving would have an effect on the timings.

The Experience You Bring

• Total work experience of 5 - 7 years required including 3 - 5 years of relevant work experience of rule coding with an investment advisor or mutual fund group in Compliance or regulatory environment.
• Strong knowledge of and experience with Equity/Fixed Income/ETF Products required, including UCITS Funds, Institutional Products and 40 Act Funds. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.
• Experience with regulatory environments such as SEC, 1940 Act, NI 81-102 is required.
• 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 in MS Office suite of applications
• Familiarity with trading systems and compliance components such as Charles River, Bloomberg AIM, LZ Sentinel or Aladdin

Academic requirements

B. Com / M. Com / MBA /CA / Degree in Commerce/Finance