4 Guideline Interpretation Jobs

As an Investment Compliance & Monitoring professional at UBS, your primary responsibility will be to ensure that portfolios adhere to regulatory, contractual, and internal investment restrictions. You will review and investigate post-trade breaches, collaborate with Portfolio Managers for resolution, and escalate issues when necessary. Additionally, you will conduct pre-trade compliance checks, approving or flagging trades that require further review. In the realm of Guideline Interpretation & Rule Coding, you will analyze and interpret client investment mandates, regulatory requirements (e.g., UCITS, 1940 Act, SFDR), and internal policies. Your tasks will include coding and maintaining investment restrictions in compliance systems like Sentinel, ensuring accuracy and efficiency in rule implementation, testing, and documentation. Collaboration with key stakeholders such as Portfolio Managers, Traders, Client Relationship Managers, and Compliance teams will be essential. You may also be involved in due diligence reviews, regulatory inquiries, client reporting, and global integration projects aimed at standardizing rules, implementing AI-driven compliance solutions, and automating processes. Your role will also encompass Process Optimization & Project Involvement where you will identify opportunities to enhance automation and efficiency in monitoring activities. You will work closely with technology teams to implement system enhancements and new compliance features. Joining a new team of 3 individuals in India, you will provide support to other global IGM teams. To excel in this role, you should possess a minimum of 5+ years of experience in Investment Guideline Monitoring, Investment Compliance, or a related asset management function. Familiarity with compliance monitoring systems such as Sentinel, Charles River, BlackRock Aladdin, or SimCorp is crucial. A strong knowledge of investment restrictions across global regulatory frameworks like UCITS, 1940 Act, SFDR, KKV-FINMA is also required. Technical skills are paramount, including a deep understanding of financial instruments (equities, fixed income, derivatives, structured products, ETFs) and coding experience within Sentinel or similar compliance platforms. Data analytics skills like Python, SQL, or VBA are advantageous but not mandatory. Soft skills and qualifications should include a Bachelors/Masters degree in Finance, Economics, Risk Management, or a related field. Excellent communication skills in English (written & spoken), a problem-solving mindset, attention to detail, and the ability to work under time-sensitive conditions are essential. UBS, the world's largest and only truly global wealth manager, operates through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. With a presence in over 50 countries, UBS offers a diverse and inclusive work environment where collaboration is key to success. UBS is an Equal Opportunity Employer committed to disability inclusion, diversity, and empowerment of individuals from varied backgrounds. If you require reasonable accommodation/adjustments during the recruitment process, feel free to contact us.,

As an Investment Compliance & Monitoring professional at UBS, your primary responsibility will be to ensure that portfolios adhere to regulatory, contractual, and internal investment restrictions. This includes reviewing and investigating post-trade breaches, collaborating with Portfolio Managers for resolution, and escalating issues when necessary. Additionally, you will conduct pre-trade compliance checks to approve or flag trades that require further review. You will also be tasked with analyzing and interpreting client investment mandates, regulatory requirements (e.g., UCITS, 1940 Act, SFDR), and internal policies. This will involve coding and maintaining investment restrictions in compliance systems such as Sentinel, ensuring accuracy and efficiency in rule implementation, testing, and documentation. Collaboration with key business stakeholders like Portfolio Managers, Traders, Client Relationship Managers, and Compliance teams may be required. You may also support due diligence reviews, regulatory inquiries, and client reporting while participating in global integration projects aimed at rule standardization, AI-driven compliance solutions, and process automation. Process optimization and project involvement will be crucial aspects of your role, where you will identify opportunities to enhance automation and efficiency in monitoring activities. Working closely with technology teams, you will help implement system enhancements and new compliance features. You will join a team of 3 new members in India supporting other global IGM regions. To excel in this role, you should have a minimum of 5+ years of experience in Investment Guideline Monitoring, Investment Compliance, or a related asset management function. Familiarity with compliance monitoring systems like Sentinel, Charles River, BlackRock Aladdin, or SimCorp is required. A strong knowledge of investment restrictions across global regulatory frameworks such as UCITS, 1940 Act, SFDR, and KKV-FINMA is essential. Technical skills including a strong understanding of various financial instruments, coding experience within compliance platforms like Sentinel, and data analytics proficiency (e.g., Python, SQL, VBA) are highly valued. Additionally, you should hold a Bachelors/Masters degree in Finance, Economics, Risk Management, or a related field, along with excellent communication skills in English (written & spoken). At UBS, we value our people and are committed to fostering an inclusive culture that brings out the best in our employees. Join us to be part of a global wealth management firm that prioritizes collaboration, growth opportunities, and flexible working options. If you require reasonable accommodations during the recruitment process, please feel free to contact us. UBS is an Equal Opportunity Employer that respects and empowers individuals from diverse backgrounds within our workforce.,

At EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture, and technology to become the best version of you. And we're counting on your unique voice and perspective to help EY become even better, too. Join us and build an exceptional experience for yourself and a better working world for all. The job involves compliance rule coding and testing experience in CRD platform with expertise and prior work experience on one or more asset classes such as fixed income, equity, derivatives, etc. It includes Guideline Interpretation, Rule Coding and Testing, Pre-Trade & Post-Trade, Compliance Monitoring, and Investment Compliance. The ideal candidate should possess strong Database programming experience (SQL, TS/PL-SQL, etc.) with at least one major Relational DBMS (Ex: Oracle, MS SQL, DB2 databases). In addition, a good understanding of Asset classes such as Equities, Derivatives, Fixed Income, and FX products is required. Your client responsibilities include working as a team member in one or more CRD projects, interfacing and communicating with the onsite coordinators, completing assigned tasks on time, and providing regular status reporting to the lead and Manager. You are also expected to interface with customer representatives as and when needed and be ready to travel to customer locations on a need basis. Regarding your people responsibilities, you will be responsible for building a quality culture, managing the performance management for direct reportees (if any), fostering teamwork, leading by example, training and mentoring project resources, and participating in organization-wide people initiatives. Preferred skills for this role include rule coding experience in platforms such as Aladdin, Charles River (CRD) Bloomberg AIM, Sentinel, etc. Rule testing and alerts monitoring experience would be an added advantage. EY exists to build a better working world, helping to create long-term value for clients, people, and society and build trust in the capital markets. Enabled by data and technology, diverse EY teams in over 150 countries provide trust through assurance and help clients grow, transform, and operate. Working across assurance, consulting, law, strategy, tax, and transactions, EY teams ask better questions to find new answers for the complex issues facing our world today.,

At EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture, and technology to become the best version of you. We are counting on your unique voice and perspective to help EY become even better. Join us and build an exceptional experience for yourself, and a better working world for all. As a Compliance rule coder and tester on Blackrock Aladdin/other platforms professional, you will utilize your expertise and prior work experience on one or more asset classes such as fixed income, equity, derivatives, etc. Your responsibilities will include Guideline Interpretation, Rule Coding and Testing, Pre Trade & Post Trade Compliance Monitoring, and Investment Compliance. Technical experience in working with data, understanding relational data models, and executing SQL queries is essential. Exposure to working with Wealth and Asset Management firms and a complete understanding of the Buy side business will be required. Your client responsibilities will involve working as an individual contributor/lead in one or more Wealth and Asset Management projects. You may need to manage a team of junior business analysts based on project requirements. Communication with onsite coordinators, completion of assigned tasks on time, regular status reporting to the lead, manager, and onsite coordinators, as well as interface with customer representatives as needed will be part of your role. Travel to customers" locations may be required on a need basis. In terms of people responsibilities, you will be expected to build a quality culture, manage the performance of direct reportees, foster teamwork, lead by example, provide training and mentoring to project resources, and participate in organization-wide people initiatives. Mandatory skills for this role include sectorial experience in financial services/capital markets, with domain knowledge on different asset classes across front office, middle office, and back office for either or both buy and sell side of business. Knowledge of portfolio management, trade execution, data control and operations, and portfolio administration is crucial. You should have experience in understanding client requirements, relating them appropriately to the team, defining and validating customization needs for packages as per client requirements, and expertise in Oracle, MS SQL, DB2 databases, and good data analytics skills. In-depth knowledge of CFA concepts like portfolio management, wealth planning, Fixed income, Equity, Alternate investment, Derivatives, etc., is required. Leadership skills are essential for this role, along with excellent client-facing abilities. A degree in MBA/MCA/BE/B.Tech or equivalent with 8 to 10 years of experience in the financial services industry is preferred. EY exists to build a better working world, helping to create long-term value for clients, people, and society, and build trust in the capital markets. With diverse teams in over 150 countries, EY provides trust through assurance and helps clients grow, transform, and operate across assurance, consulting, law, strategy, tax, and transactions. EY teams ask better questions to find new answers for the complex issues facing our world today.,