Investment Compliance Analyst

Decimal Point Analytics

0 years

0 Lacs

mumbai maharashtra india

Posted:3 days ago| Platform:

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Skills Required

compliance coding monitoring checks analyze sentinel development reporting reports documentation audit portfolio risk management logical reasoning excel word communication

Work Mode

On-site

Job Type

Full Time

Job Description

detail-oriented and analytical Investment Compliance Analyst

Key Responsibilities

Investment Compliance Monitoring:
Conduct coding and post-trade compliance checks to ensure adherence to investment guidelines and regulatory requirements.
Guideline Interpretation:
Analyze, interpret, and implement investment guidelines for various instruments, ensuring alignment with client and regulatory standards.
Compliance Tools Management:
Utilize platforms such as Sentinel, Aladdin, Bloomberg AIM, or Charles River Development (CRD) for compliance processes.
Reporting and Documentation:
Prepare accurate compliance reports and maintain thorough documentation for audit and client purposes.
Collaboration:
Work closely with portfolio managers, risk management teams, and other stakeholders to address compliance issues and ensure timely resolution.
Process Optimization:
Continuously identify and implement improvements in compliance processes and procedures.

Key Competencies

Investment Instruments Knowledge:
Strong understanding of equities, derivatives, and fixed-income instruments.
Analytical Skills:
Ability to apply logical reasoning and interpret complex investment guidelines.
Technical Expertise:
Proficiency with at least one compliance platform (Sentinel, Aladdin, Bloomberg AIM, or CRD).
Microsoft Office Proficiency:
Strong working knowledge of Excel, Word, and other MS Office applications.
Communication Skills:
Excellent written and verbal communication abilities to convey compliance matters effectively to diverse stakeholders.

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