26 Investment Compliance Jobs

As one of the world's leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day! Your Team: The EMEA compliance team takes care of EMEA (UK, LUX, FRT, Ireland, Paris) domiciled accounts governed by UCITS guidelines. The team is responsible for compliance monitoring of prospectus rules, regulatory rules, and other manual tasks as required by the guidelines. Additionally, the team is involved in rule coding, rule testing, fund launches, and other reconciliation activities relevant for maintaining account/test details. Your Role: As an analyst, you will be responsible for addressing day-to-day compliance alerts/warnings in batch compliance related to trading strategies and the application of technology-related or manual controls created and applied during this process. Your responsibilities will include: - Monitoring investment guidelines of client portfolios and addressing violations in a timely manner - Identifying and analyzing investment restrictions to ensure compliance with various criteria - Onboarding new clients for investment compliance and reporting exceptions - Updating restricted securities lists and conducting various checks at holding and transaction levels - Conducting periodic and transactional testing to ensure compliance with regulatory requirements - Interacting with regional and global compliance teams for various compliance monitoring activities - Responding to queries and escalating when necessary - Assisting in Compliance-related projects and initiatives The Experience You Bring: You should have 2 to 4 years of work experience in investment compliance with an investment advisor or mutual fund group. A good understanding of capital markets, financial products, and the asset management industry is required. Full Time / Part Time: Full-time Worker Type: Employee Job Exempt: No Workplace Model: At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least three days a week, with two days working outside an Invesco office. Why Invesco: In Invesco, we act with integrity and do meaningful work to create an impact for our stakeholders. We believe in a diverse, inclusive, and supportive workplace where everyone feels equally valued. Our benefits include competitive compensation, flexible work options, extensive leave policies, insurance coverage, career development programs, mentoring opportunities, and much more. To Know More About Us: - About Invesco: https://www.invesco.com/corporate/en/home.html - About our Culture: https://www.invesco.com/corporate/en/about-us/our-culture.html - About our D&I policy: https://www.invesco.com/corporate/en/our-commitments/diversity-and-inclusion.html - About our CR program: https://www.invesco.com/corporate/en/our-commitments/corporate-responsibility.html Apply for the role @ Invesco Careers: https://careers.invesco.com/india/,

What is the Compliance Analyst Role? Perform ongoing, periodic audit of global and regional Compliance Policies & Procedures, as well as thematic risk areas identified during period risk assessment exercises. Conduct compliance reviews in accordance with the periodic monitoring & testing plan to provide assurance that the business operates in compliance with relevant laws, regulations and FTs Compliance policies and procedures. Analyze large datasets using various analytical tools and techniques to identify patterns, anomalies, and potential risks. What are the ongoing responsibilities of Compliance Analyst? This is a professional role within a dynamic and growing team dedicated to ensuring the integrity of our Investment Compliance processes. You will be responsible for testing internal controls and reporting the results of monitoring reviews conducted on FT Investment Policies. We are seeking an innovative and forward-thinking professional who can also actively contribute to the continuous improvement of our Investment Compliance (IC) monitoring activities. You will leverage data analytics techniques, where required, to enhance compliance monitoring and support our ongoing analytics initiatives. Key Responsibilities: Review policies and conduct process walkthroughs to understand regulatory requirements and associated controls for assigned FT Investment policies. Perform independent analysis of existing workflows to assess effectiveness and compliance. Test controls from both design and operating effectiveness perspectives to identify actual and potential breaches, leveraging data analytics techniques where necessary. Analyze large datasets using various analytical tools and techniques to identify patterns, anomalies, and potential risks. Prepare reports to inform key stakeholders of the outcome of monitoring and review activities. Contribute to the automation of routine audit tasks and improve efficiency with data analytics tools and techniques. Execute and manage the collection and analysis of data for management reporting and audit inquiries. What ideal qualifications, skills & experience would help someone to be successful? Education And Experience: Professional certification (CA MBA CFA). Postgraduate in finance or related field. Experience of 2-5 years with a mutual fund complex, investment advisory firm or investment banking. Experience preferably includes 1-5 years within a Compliance or Audit or Risk Management Department. Previous experience of Compliance Monitoring and/or testing of internal controls in financial services is a plus. Strong MS Office and MS Project capabilities. Knowledge of SQL and/or Excel VBA is a plus. Knowledge of Alteryx, Power BI, Tableau, and other analytical/automation tools is a plus. Experience of data analytics data visualization in the context of monitoring is a plus. Charles River/Alladin Experience a plus. Skills And Abilities: Proven ability to work with other analyst to accomplish common goals. Strong interpersonal skills and a talent for building trusted relationships with all levels of staff including senior management to accomplish common goals. Exceptional analytical skills, ability to troubleshoot issues quickly and provide timely responses and accuracy. Strong attention to detail and accuracy. Excellent written and verbal communication skills. Problem Solving and Decision Making: Ability to work independently & look for solutions proactively. Flexible worker with ability to work under pressure and within tight timelines. Strong time management skills and ability to handle multiple tasks. Is assertive, needs to be able to reject a request giving a solid reasoning behind the decision Job Level - Individual Contributor Work Shift Timings - 2:00 PM - 11:00 PM IST

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.,

About the Opportunity Job TypeApplication 31 August 2025 About The Role Title Manager - Portfolio Compliance Monitoring Department General Counsel Shared Services Location Gurgaon, India Reports To Senior Manager - Portfolio Compliance Monitoring Level 5 Were proud to have been helping our clients build better financial futures for over 50 years. How have we achieved thisBy working together - and supporting each other - all over the world. So, join our General Counsel Shared Services Team and feel like youre part of something bigger. General Counsel General Counsel (GC) is a trusted advisor to all parts of FIL, providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management General Counsel Shared Services: The General Counsel Shared services function is a global centre of expertise currently being built out in Dalian and India. It will provide operational support and services to the General Counsel function. Three key verticals of GC shared services are:- Reporting and Systems- Central hub in GC for all reporting and systems related activities. Operations - This is bouquet of various service offering for GC like Training Admin, support in Europe compliance, information barriers, legal and co sec ops. Investment Compliance- Compliance team in India provides effective monitoring of FILs funds to ensure compliance with funds mandates and regulatory rules in verticals like Portfolio compliance Monitoring, Investment Management Compliance Advisory and Investment Management Compliance Monitoring. Portfolio Compliance Monitoring: The Portfolio Monitoring team is a global function is part of FILs Global Investment Compliance and Monitoring department, with teams present in Hong Kong, London and Gurgaon. The team is primarily responsible for performing End of Day (EOD) portfolio compliance monitoring for all retail and institutional products globally managed by FIL as well as coding portfolio restrictions and investment guidelines in compliance monitoring system. The Portfolio Monitoring team also provides compliance guidance and support to FILs investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FILs institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system. Key Responsibilities Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts guidelines; Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded; Regular Rule maintenance on compliance system i.e. CRD; Conduct Account Mapping / Review viz a viz applicable rule; Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended; Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams; Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules; Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines; Assist in resolving queries with regional compliance teams; Assist with ongoing review of relevant processes and procedures to ensure best practice; Assist in a range of FIL-wide projects or tasks; Assist with ad-hoc compliance monitoring tasks, as required. Experience and Qualifications Required Experience in Investment compliance guideline rule coding in Charles River is a must; Good understanding of Charles River system workflows and parameters; Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; Technology Savvy with experience in writing high quality, readable, reusable, testable code; Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; Good instrument knowledge of equities, fixed income and derivatives; Must have understanding of ESG guidelines and frameworks; Be a strategic thinker, possess strong facilitation and data gathering skills; Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; CFA or Bachelor of Business or Commerce preferred; Business-level verbal and written English communication / presentation skills; Positive team player as well as the ability to work on their own initiative; Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

Are you looking for an exciting opportunity to join a dynamic and growing team in a fast paced and challenging areaThis is a unique opportunity for you to work in our team to partner with the Business to provide a comprehensive view. As an Analyst/Associate within Markets team, youwill be a self-starter and self-motivated individual as the business is based on devising bespoke mandates. This role requires you to demonstrate a range of skills from effective process oversight and controls, effective communication to analytical problem solving and teamwork Job Responsibilities Implementing and monitoring investment restrictions and guidelines; reporting breaches and maintaining records. Monitoring global exposure, liquidity, market, credit risk, validation of VaR models and other risk metrics. Oversight of daily tasks and processes and investigating escalation alerts from portfolio managers, middle office, compliance. Automating manual Excel-based monitoring / reporting processes to improve efficiencies across the Internal Control book of work Continuing the migration from legacy Excel tools into a modern UI Streamlining regulatory / client reporting Lead and participate in ad-hoc projects as needed by senior management Assist with the preparation of management information for committees and management meetings. Required qualifications, capabilities, and skills Relevant experience in investment compliance or investment risk in asset management is crucial to the role Experience in coding (preference on Python), specifically strong knowledge of data parsing & storage, as well as statistical, analytical (or machine learning) libraries Translate business needs into quantitative analyses and tools; communicate complex results to senior stakeholders in a clear and precise manner Able to work independently and collaboratively to problem solve, and knowing when to escalate Clearly document the code of the tools created; Publish and maintain clear user documentation Strong quantitative and analytical skills and strong communication skills (both written and verbal) and ability to present findings to a non-technical audience including external stakeholders Preferred qualifications, capabilities, and skills Strong knowledge of derivative markets (Equities, FX, Rates, or Commodities) Knowledge of UI languages such as react would be an advantage and Advanced user of MS Office suite Close attention to detail and ability to work to very high standards Role: Business Analyst Industry Type: Financial Services Department: Data Science & Analytics Employment Type: Full Time, Permanent Role Category: Business Intelligence & Analytics Education UG: Any Graduate PG: Any Postgraduate

Are you looking for an exciting opportunity to join a dynamic and growing team in a fast paced and challenging areaThis is a unique opportunity for you to work in our team to partner with the Business to provide a comprehensive view. As an Analyst/Associate within Markets team, youwill be a self-starter and self-motivated individual as the business is based on devising bespoke mandates. This role requires you to demonstrate a range of skills from effective process oversight and controls, effective communication to analytical problem solving and teamwork Job Responsibilities Implementing and monitoring investment restrictions and guidelines; reporting breaches and maintaining records. Monitoring global exposure, liquidity, market, credit risk, validation of VaR models and other risk metrics. Oversight of daily tasks and processes and investigating escalation alerts from portfolio managers, middle office, compliance. Automating manual Excel-based monitoring / reporting processes to improve efficiencies across the Internal Control book of work Continuing the migration from legacy Excel tools into a modern UI Streamlining regulatory / client reporting Lead and participate in ad-hoc projects as needed by senior management Assist with the preparation of management information for committees and management meetings. Required qualifications, capabilities, and skills Relevant experience in investment compliance or investment risk in asset management is crucial to the role Experience in coding (preference on Python), specifically strong knowledge of data parsing & storage, as well as statistical, analytical (or machine learning) libraries Translate business needs into quantitative analyses and tools; communicate complex results to senior stakeholders in a clear and precise manner Able to work independently and collaboratively to problem solve, and knowing when to escalate Clearly document the code of the tools created; Publish and maintain clear user documentation Strong quantitative and analytical skills and strong communication skills (both written and verbal) and ability to present findings to a non-technical audience including external stakeholders Preferred qualifications, capabilities, and skills Strong knowledge of derivative markets (Equities, FX, Rates, or Commodities) Knowledge of UI languages such as react would be an advantage and Advanced user of MS Office suite Close attention to detail and ability to work to very high standards Role: Business Analyst Industry Type: Financial Services Department: Data Science & Analytics Employment Type: Full Time, Permanent Role Category: Business Intelligence & Analytics Education UG: Any Graduate PG: Any Postgraduate

Key Responsibilities • Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts guidelines; • Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded; • Regular Rule maintenance on compliance system i.e. CRD; • Conduct Account Mapping / Review viz a viz applicable rule; • Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended; Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams; • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules; • Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines; • Assist in resolving queries with regional compliance teams; • Assist with ongoing review of relevant processes and procedures to ensure best practice; • Assist in a range of FIL-wide projects or tasks; • Assist with ad-hoc compliance monitoring tasks, as required. Experience and Qualifications Required • Experience in Investment compliance guideline rule coding in Charles River is a must; • Good understanding of Charles River system workflows and parameters; • Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; • Technology Savvy with experience in writing high quality, readable, reusable, testable code; • Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; • Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; • 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; • Good instrument knowledge of equities, fixed income and derivatives; • Must have understanding of ESG guidelines and frameworks; • Be a strategic thinker, possess strong facilitation and data gathering skills; • Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; • CFA or Bachelor of Business or Commerce preferred; • Business-level verbal and written English communication / presentation skills; • Positive team player as well as the ability to work on their own initiative; • Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

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.,

Candidates will gain exposure to a wide range of industries and investment structures. As a result of the breadth of the experience, candidates will develop a unique understanding of companies, capital structures, and credit markets. This candidate will work directly with the Specialty Finance investment team within the Blackstone Insurance Structure. Responsibilities: Analyzing investment guidelines and interpret them to build logic-based rules to implement into automated investment compliance system for monitoring. Deliver daily/monthly/quarterly compliance reports to PM team for the new violations across all investment policies. Support onshore team by assisting them in post trade compliance monitoring activities across all the investment strategies. Assist in identifying the data governance and data reconciliation issues. Must be good with people management skills, must have on papers experience Qualifications: Bachelors degree with a preference to advanced degree or progression towards CFA/FRM/CAIA 4-6 years of relevant experience in investment compliance monitoring with an exposure towards rule coding. Knowledge of guideline monitoring or coding in compliance systems e.g., Charles River, Bloomberg, LZ Sentinel, Aladdin or Clearwater Analytics would be an added advantage. Good to have experience in querying database and analyzing large data sets

: Candidates will gain exposure to a wide range of industries and investment structures. As a result of the breadth of the experience, candidates will develop a unique understanding of companies, capital structures, and credit markets. Responsibilities: Analyzing investment guidelines and interpret them to build logic-based rules to implement into automated investment compliance system for monitoring. Deliver daily/monthly/quarterly compliance reports to PM team for the new violations across all investment policies. Support onshore team by assisting them in post trade compliance monitoring activities across all the investment strategies. Assist in identifying the data governance and data reconciliation issues. Must be good with people management skills, must have on papers experience Qualifications: Bachelors degree with a preference to advanced degree or progression towards CFA/FRM/CAIA 4-6 years of relevant experience in investment compliance monitoring with an exposure towards rule coding. Knowledge of guideline monitoring or coding in compliance systems e.g., Charles River, Bloomberg, LZ Sentinel, Aladdin or Clearwater Analytics would be an added advantage. Good to have experience in querying database and analyzing large data sets

About the role: The organization is looking for an experienced and detail-oriented professional to manage treasury operations within their NBFC business. The ideal candidate will have 5-7 years of experience in treasury operations, with a strong grasp of both front-end and back-office processes. This role is crucial in ensuring accuracy, compliance, and efficiency in all treasury-related activities. Key Responsibilities: - Oversee daily treasury operations including fund transfers, investment settlements, bank reconciliations, and cash flow monitoring. - Ensure timely and accurate execution of money market and capital market transactions. - Coordinate with front office teams on trade confirmations, settlements, and reconciliations. - Handle treasury back-office functions such as: a. Trade confirmation matching and discrepancies resolution b. Settlement instructions and coordination with custodians/banks c. Ensuring timely accounting entries and ledger postings d. Managing deal documentation, custody, and audit trail maintenance e. Reconciliation of nostro and general ledger accounts - Monitor liquidity positions and support short-term funding and investment activities. - Ensure compliance with internal controls, SOPs, and regulatory guidelines (RBI, SEBI, etc.). - Assist in preparing regulatory and internal MIS reports related to treasury. - Support automation of treasury workflows and contribute to process enhancements. - Coordinate with auditors and internal teams during treasury audits and reviews. Desired Profile: - 5-7 years of relevant experience in treasury operations, preferably within an NBFC or financial services institution. - Solid understanding of treasury instruments, settlement processes, and back-office functions. - Familiarity with banking platforms, treasury systems (TMS), and Excel-based reporting. - Knowledge of applicable RBI guidelines, investment compliance, and operational risk controls. - Strong communication, analytical, and organizational skills,

Take a Lead role in acquiring, managing and retaining meaningful relationships that deliver outstanding experience to our customers Job Summary As a Compliance Reporting Lead within our team, you will play a pivotal role in ensuring that client rules align with investment agreements and adapt to regulatory changes. You will act as a change agent, providing technical expertise for compliance projects and ensuring proper rule coding. Your role will involve developing innovative solutions tailored to client needs, maintaining and updating fund rules, and assisting in breach resolution. You will need to stay informed on industry practices and regulations, and focus on solving complex client requests, interpreting investment mandates, and coding rules. A strong understanding of financial instruments, including derivatives, is essential. Job Responsibilities Create, maintain and test logical rules automatically applied to the financial instruments owned by J. P. Morgans clients Ensure that rules are established in accordance with the Client Investment Agreement and adapt them as needed based on regulatory changes. Serve as a change agent by providing technical expertise for key compliance reporting projects, offering a comprehensive view of rule coding and identifying any breaches. Develop innovative solutions to meet client requirements, including coding within the Compliance Reporting application, while optimizing the existing rule library. Understand and address specific client nuances to deliver appropriate and optimal solutions that meet their objectives. Maintain and update existing fund rules within the system, adapting solutions to meet the evolving needs of clients in a timely manner. Align client requirements with system capabilities and perform necessary maintenance on client accounts. Investigate breaches of investment guidelines with investment managers to assist clients in resolving issues, while staying informed about industry practices, product developments, and regulatory changes. Focus on solving complex technical requests for global clients, interpreting investment mandates to identify and code rules, and possessing or quickly acquiring knowledge of various financial instruments, including derivatives. Required Qualifications, Skills and Capabilities Degree in related technical area (such as Finance, Mathematics, Economics, Computer Sciences or Business) and experience financial instruments The successful candidate would have the following key attributes, demonstrated by suitable experience Coding or report writing experience, with logic-based database systems Excellent financial market and instrument knowledge Compliance reporting product knowledge All candidates must have Excellent written and verbal communication Take a Lead role in acquiring, managing and retaining meaningful relationships that deliver outstanding experience to our customers Job Summary As a Compliance Reporting Lead within our team, you will play a pivotal role in ensuring that client rules align with investment agreements and adapt to regulatory changes. You will act as a change agent, providing technical expertise for compliance projects and ensuring proper rule coding. Your role will involve developing innovative solutions tailored to client needs, maintaining and updating fund rules, and assisting in breach resolution. You will need to stay informed on industry practices and regulations, and focus on solving complex client requests, interpreting investment mandates, and coding rules. A strong understanding of financial instruments, including derivatives, is essential. Job Responsibilities Create, maintain and test logical rules automatically applied to the financial instruments owned by J. P. Morgans clients Ensure that rules are established in accordance with the Client Investment Agreement and adapt them as needed based on regulatory changes. Serve as a change agent by providing technical expertise for key compliance reporting projects, offering a comprehensive view of rule coding and identifying any breaches. Develop innovative solutions to meet client requirements, including coding within the Compliance Reporting application, while optimizing the existing rule library. Understand and address specific client nuances to deliver appropriate and optimal solutions that meet their objectives. Maintain and update existing fund rules within the system, adapting solutions to meet the evolving needs of clients in a timely manner. Align client requirements with system capabilities and perform necessary maintenance on client accounts. Investigate breaches of investment guidelines with investment managers to assist clients in resolving issues, while staying informed about industry practices, product developments, and regulatory changes. Focus on solving complex technical requests for global clients, interpreting investment mandates to identify and code rules, and possessing or quickly acquiring knowledge of various financial instruments, including derivatives. Required Qualifications, Skills and Capabilities Degree in related technical area (such as Finance, Mathematics, Economics, Computer Sciences or Business) and experience financial instruments The successful candidate would have the following key attributes, demonstrated by suitable experience Coding or report writing experience, with logic-based database systems Excellent financial market and instrument knowledge Compliance reporting product knowledge All candidates must have Excellent written and verbal communication

As our organization continues to grow and expand, bringing more companies into our portfolio, we are seeking a strategic thinker who can help us craft impactful strategies. You will play a crucial role in shaping key investment decisions and identifying future opportunities that drive growth and deliver exceptional value to us. Manage liquidity, funding sources, and investment opportunities for business growth. Optimize cash flow, conduct PL reviews, and drive cost optimization. Implement financial controls to ensure compliance and align strategies with business goals. Required Qualification: Graduation in the area of Finance or any relevant professional degree

Title Manager - Portfolio Compliance Monitoring Department General Counsel Shared Services Location Gurgaon, India Reports To Senior Manager - Portfolio Compliance Monitoring Level 5 General Counsel General Counsel (GC) is a trusted advisor to all parts of FIL, providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management General Counsel Shared Services: The General Counsel Shared services function is a global centre of expertise currently being built out in Dalian and India. It will provide operational support and services to the General Counsel function. Three key verticals of GC shared services are:- Reporting and Systems - Central hub in GC for all reporting and systems related activities. Operations - This is bouquet of various service offering for GC like Training Admin, support in Europe compliance, information barriers, legal and co sec ops. Investment Compliance - Compliance team in India provides effective monitoring of FILs funds to ensure compliance with funds mandates and regulatory rules in verticals like Portfolio compliance Monitoring, Investment Management Compliance Advisory and Investment Management Compliance Monitoring. Portfolio Compliance Monitoring: The Portfolio Monitoring team is a global function is part of FILs Global Investment Compliance and Monitoring department, with teams present in Hong Kong, London and Gurgaon. The team is primarily responsible for performing End of Day (EOD) portfolio compliance monitoring for all retail and institutional products globally managed by FIL as well as coding portfolio restrictions and investment guidelines in compliance monitoring system. The Portfolio Monitoring team also provides compliance guidance and support to FILs investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FILs institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system. Key Responsibilities To support the Global Investment Compliance Team in review, analyse and advise on investment guidelines for FILs institutional and retail products To support the Global Investment Compliance Team in review, analyse and advise on investment guidelines for FILs institutional and retail products Investigate the cause of daily alerts/warnings and report compliance breaches across various stakeholders Identify, report and follow up on resolution for compliance breaches in-line with internal policy and regulatory requirements Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into CRD Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded Conduct Account Mapping Review viz a viz applicable rule Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules and alert monitoring Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines Assist in resolving queries with regional compliance teams Perform manual activities which cannot be monitored into Compliance system i.e. CRD Assist with ongoing review of relevant processes and procedures to ensure best practice Assist in a range of FIL-wide projects or tasks Assist with ad-hoc compliance monitoring tasks, as required Experience and Qualifications Required Experience in Investment compliance guideline rule coding in Charles River is a must; Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; Technology Savvy with experience in writing high quality, readable, reusable, testable code; Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; Good instrument knowledge of equities, fixed income and derivatives; Must have understanding of ESG guidelines and frameworks; Be a strategic thinker, possess strong facilitation and data gathering skills; Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; CFA or Bachelor of Business or Commerce preferred; Business-level verbal and written English communication presentation skills; Positive team player as well as the ability to work on their own initiative; Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

About the job: Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts, combined with proprietary technology, supports more than 500 financial institutions and consulting companies to operate more efficiently and unlock their human capital, driving revenue higher and transforming operations. Acuity is headquartered in London and operates from 10 locations worldwide. The company fosters a diverse, equitable and inclusive work environment, nurturing talent, regardless of race, gender, ethnicity or sexual orientation. Acuity was established as a separate business from Moodys Corporation in 2019, following its acquisition by Equistone Partners Europe (Equistone). In January 2023, funds advised by global private equity firm Permira acquired a majority stake in the business from Equistone, which remains invested as a minority shareholder. Job Responsibilities: Investment compliance team is responsible for implementing controls and processes which will ensure that all investments in various portfolios are adhering to regulatory as well as client issued guidelines. The incumbent will primarily be responsible for reading investment management agreements and extracting, analyzing, coding of client, regulatory and internal investment guidelines on various compliance systems like Sentinel, Aladdin, AIM etc. The incumbent will also be responsible for performing daily review of post trade incidents, researching any potential breach during trading, liaising with onshore analysts and portfolio management teams to ensure portfolios are complying to all guidelines. Associate of the investment compliance team will be an expert in the process and should be able to perform the task with minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster. Key Responsibilities New account on-boarding activities. Guideline reviews and account coding Identify gaps in existing coding and suggest enhancements. Perform daily review of post trade incidents and perform thorough investigations to identify root cause of the failure. Liaison with portfolio managers, client relationship managers and ensure portfolio is adhering to all guidelines. Handle queries of junior team members and help them learn the process. Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team. Work on list updates which includes firm wide restricted list updates as well as client specific lists. Client certifications and attestations Perform checks on non codeable guidelines. Work on projects as required. Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Key Competencies Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Sound interpretational & logical reasoning skills to comprehend investment guidelines. Strong Microsoft Office knowledge is required. Experience in Investment Compliance functions including coding and post-trade monitoring is mandatory. Experience in one of the following solution providers is required: Sentinel, Aladdin, Bloomberg AIM, Geneva. Interested candidates can share me their resume @dolimoni.kalita@acuitykp.com

Hi , Please share your Resume on this Email id - Jasmine.@randstad.in Position Title :Analyst- International Trade Compliance Opening with MNC on Randstad Payroll as per performance it will extended . Pune Location - Magarpatta Experience Range - 2yrs to 4yrs 05Days Working Shift Time - 2:30 PM Afternoon to 11:30 pm ( Night) Pick and Drop and Canteen Facility Available Looking Candidate - * HTS Classification Experience Must * SAP GTS ( Global Trade Service) Tool Knowledge *U.S. Trade Compliance * International Trade Documentation Excellent Written and verbal Communication Manufacturing Experience Preferred Role & responsibilities SPECIFIC RESPONSIBILITIES: Global HS Code classification Global denied party screening U.S. Customs ACH payment processing activity U.S. Customs Pre-Audit US Export filing audit Assist reporting preparation and follow-up US Customs post-audit preparation work and payment verification Additional trade compliance-related functions such as repetitive report issuance and correspondence, data verification, etc. as directed Preferred candidate profile EDUCATION/EXPERIENCE: Bachelors degree Preferred (but not a mandatory requirement) in Supply Chain Management, Business Administration, Logistics, International Trade Documentation. 2-5 years of Logistics, International Trade experience. Skilled user of MS Office products required Previous experience with ERP or Purchasing related software preferred. Good written and verbal communication skills to professionally address a wide and varied audience, including executive management, both internally and externally. Organizational and time management skills are sufficient to handle multiple priorities in a fast paced and everchanging environment.

About the Opportunity Job TypeApplication 14 July 2025 Title Investment Compliance Monitoring - Senior Associate Department General Counsel Shared Services Location Gurgaon, India Reports To Manager - Investment Compliance Monitoring Level 3 Were proud to have been helping our clients build better financial futures for over 50 years. How have we achieved thisBy working together - and supporting each other - all over the world. So, join our General Counsel Shared Services Team and feel like youre part of something bigger. General Counsel Shared Services General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (FIL), providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management. GC Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. Investment Compliance Monitoring: The Investment Compliance Monitoring team forms a crucial component of Global Investment Compliance department, with teams located in Japan, Hong Kong, London, and Gurgaon. Their primary role is to facilitate the implementation and continuous execution of surveillance activities across communication, trading, and other regulatory surveillance processes. This involves examining alerts, identifying potential market abuse or misconduct, escalating issues, supporting investigations, and strengthening surveillance controls. The team works closely with global stakeholders, aids in system testing and optimisation, and plays a key role in enhancing processes and maintaining thorough documentation. About your role You will be responsible for performing Compliance monitoring. This will include monitoring of communications (emails, Bloomberg messages, Zoom, Teams, Voice) of the firms investment professionals (e.g. traders, portfolio managers, research analysts), and monitoring to detect misconduct, market abuse, or behaviour that is not in accordance with the firms policies. In addition, there will be opportunities to perform other monitoring performed by the firms Investment Compliance function. Key Responsibilities Assist with the performance of periodic and recurring surveillance controls pertaining to FILs investment management and client brokerage activities; Monitoring of electronic communications and trading activities using vendor and proprietary tools. This will primarily consist of reviewing exceptions and performing further investigation where required; Assist with and lead data-driven deep dives and thematic reviews with relation to best execution, conduct of business, customer treatment & conflicts of interest, and market conduct; Identify, escalate, resolve, track and report compliance exceptions in-line with internal policy and regulatory requirements; Ongoing calibration and administration of the monitoring tools and production of management information and reports; Participate in ongoing change management initiatives by contributing to planning, testing, and implementation of systems or procedural changes; Monitor post-implementation performance and flag deviations or unintended consequences; Act as a liaison between Compliance, Technology, and Business teams to ensure seamless adoption of changes; Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks; Perform tasks within defined SLAs and assist in other projects or tasks, as required. Experience and Qualifications Required 5-7 years of relevant experience in monitoring and surveillance within the financial services industry; Bachelor of Business or Commerce preferred; Highly motivated, able to think logically, critically and quickly, with an ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks; Excellent communication and interpersonal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables; Good understanding of concepts and practices relating to trading, investment management and research; Familiarity with data visualisation tools and AI-enabled platforms would be an advantage; Working knowledge of international regulatory frameworks and strong understanding of market abuse typologies; Familiarity with designing systems testing plans and test cases, with a keen interest in emerging technologies.

Our investment professionals are responsible for delivering investment outcomes to our clients. They are enabled by many teams including Investment Monitoring, which is responsible for investment compliance oversight & support functions. KEY ACCOUNTABILITIES Investment Compliance - assist business owners to pre-empt, advise, identify, and monitor investment Compliance limits and restrictions (imposed by regulations and/or clients) Reporting - provide timely analysis, reports/reporting and escalation of exceptions on investment limits and restrictions and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters. On-going monitoring and review of both new and changes to regulations / client mandates relating to investment compliance for Singapore, Malaysia, Indonesia, Thailand, Taiwan, Hong Kong, China, Korea and Japan. Duties and Responsibilities: Investment Guidelines Compliance Conduct daily pre-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered during order creation and order execution within a turnaround time of 5-15 minutes maximum. Conduct daily post-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered at post-trade. Where compliance violations are deemed as breach of investment guidelines, to ensure proper notification and follow up till rectification to portfolio manager, including to the client where required Ensure proper and complete recording of breaches in the breach register Perform daily review of pre-trade audit file by generating the pre-trade violations records from system, review pre-trade violation comments from the output file Pre-emptive compliance via providing investment compliance related advices to portfolio managers even before they place orders Collaboration with Trustees and Custodians to ensure fund compliance by reviewing the breaches reported by them and reconciling against system s record and response to their inquiries Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation Perform reviews of manual control rule monitoring of off-system checks for those task/guidelines that cannot be tracked accurately in system via coded rule Derivatives exposure calculation by performing additional manual netting and offsets against underlying assets according to the regulatory requirements; and reporting the figures to the portfolio managers Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required Provide timely compliance reports and certification to clients and internal stakeholders on monthly, quarterly and/or annual basis by preparing the list of breaches detected during the period, generating compliance reports from system, review and remove rules not related to fund guidelines or regulatory guidelines from the report Perform daily and monthly manual tasks on Securities Lending Program on SICAVs using securities lending data from lending agent and checking for adherence to various parameters such as lending limits against SICAV fund s NAV, issuer exposure on collaterals received, aggregate counterparty exposure on collaterals from securities lending and portfolio positions from system, approved borrowers check and aggregate ownership limits from collaterals and portfolio positions Coordinate and work with the Head Office team in terms of alignment and improvements in processes Completeness review of rules coded in Aladdin by matching the coded rules against the fund and or regulatory guidelines to ensure all guidelines are properly coded and documented in Aladdin Rolling out FM attestation of rules coded for their funds. Conduct rule coding accuracy analysis Delegation Oversight Review the regular attestation received from delegates and escalate any guideline compliance issues to management Participate in on-going due diligence on delegations related matters Coding & Innovation Regulations and Guideline interpretation, translation, testing and sign-off Lists maintenances by reviewing and updating of various lists in the system on daily and ad-hoc basis, reconciling records against client s lists to ensure completeness Pre & Post trade monitoring process & policy documentation General Assignments Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team s Investment Compliance functions, such as -assist in new instrument approval process -regulatory inspection / queries management Singapore Public Holiday coverage may be required EXPERIENCE / QUALIFICATIONS - Graduate or post-graduate degree in Business/Accountancy/Finance - Minimum 5 years working experience in investment compliance related functions - Proficient in BlackRock Aladdin full suites of Compliance modules, workbench and violations dashboard - Ability to independently interpret regulations/client mandates accurately - Strong knowledge on Aladdin BQL and Investment Compliance logics - Expertise and deep knowledge in MAS CCIS, CPFIG, UCITS and/or the respective local regulations of Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan. - Strong understanding of Investment management workflows and processes PERSONAL ATTRIBUTES - Highly diligent, resourceful and curious - Excellent English communication skills, written and verbal. Candidates with local language expertise in any of the countries stated here will be preferred. (Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan.) - Strong oversight monitoring and problem-solving skills - Attention to detail with a passion for quality - Effective inter-personal skills and ability to work with different stakeholders - Maturity, commitment, and drive - Resilient in dealing with multiple initiatives and challenges - Interest in innovation and technology to standardize and optimize operations - Forward looking mindset, independent judgment and robust analytical skill - Ability to handle extreme stress and work under extremely tight time pressure while still having clarity of thought as any wrong judgement/analysis will result in active regulatory / client mandate breaches and substantial financial / reputational losses - Ability to work independently with minimum supervision

Our investment professionals are responsible for delivering investment outcomes to our clients. They are enabled by many teams including Investment Monitoring, which is responsible for investment compliance oversight & support functions. KEY ACCOUNTABILITIES Investment Compliance – assist business owners to pre-empt, advise, identify, and monitor investment Compliance limits and restrictions (imposed by regulations and/or clients) Reporting – provide timely analysis, reports/reporting and escalation of exceptions on investment limits and restrictions and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters. On-going monitoring and review of both new and changes to regulations / client mandates relating to investment compliance for Singapore, Malaysia, Indonesia, Thailand, Taiwan, Hong Kong, China, Korea and Japan. Duties and Responsibilities: Investment Guidelines Compliance •Conduct daily pre-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered during order creation and order execution within a turnaround time of 5-15 minutes maximum. •Conduct daily post-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered at post-trade. Where compliance violations are deemed as breach of investment guidelines, to ensure proper notification and follow up till rectification to portfolio manager, including to the client where required •Ensure proper and complete recording of breaches in the breach register •Perform daily review of pre-trade audit file by generating the pre-trade violations records from system, review pre-trade violation comments from the output file •Pre-emptive compliance via providing investment compliance related advices to portfolio managers even before they place orders •Collaboration with Trustees and Custodians to ensure fund compliance by reviewing the breaches reported by them and reconciling against system’s record and response to their inquiries •Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction •Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation •Perform reviews of manual control rule monitoring of off-system checks for those task/guidelines that cannot be tracked accurately in system via coded rule •Derivatives exposure calculation by performing additional manual netting and offsets against underlying assets according to the regulatory requirements; and reporting the figures to the portfolio managers •Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required •Provide timely compliance reports and certification to clients and internal stakeholders on monthly, quarterly and/or annual basis by preparing the list of breaches detected during the period, generating compliance reports from system, review and remove rules not related to fund guidelines or regulatory guidelines from the report •Perform daily and monthly manual tasks on Securities Lending Program on SICAVs using securities lending data from lending agent and checking for adherence to various parameters such as lending limits against SICAV fund’s NAV, issuer exposure on collaterals received, aggregate counterparty exposure on collaterals from securities lending and portfolio positions from system, approved borrowers check and aggregate ownership limits from collaterals and portfolio positions •Coordinate and work with the Head Office team in terms of alignment and improvements in processes •Completeness review of rules coded in Aladdin by matching the coded rules against the fund and or regulatory guidelines to ensure all guidelines are properly coded and documented in Aladdin •Rolling out FM attestation of rules coded for their funds. •Conduct rule coding accuracy analysis Delegation Oversight •Review the regular attestation received from delegates and escalate any guideline compliance issues to management •Participate in on-going due diligence on delegations related matters Coding & Innovation •Regulations and Guideline interpretation, translation, testing and sign-off •Lists maintenances by reviewing and updating of various lists in the system on daily and ad-hoc basis, reconciling records against client’s lists to ensure completeness •Pre & Post trade monitoring process & policy documentation General Assignments •Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team’s Investment Compliance functions, such as -assist in new instrument approval process -regulatory inspection / queries management •Singapore Public Holiday coverage may be required EXPERIENCE / QUALIFICATIONS - Graduate or post-graduate degree in Business/Accountancy/Finance - Minimum 5 years working experience in investment compliance related functions - Proficient in BlackRock Aladdin full suites of Compliance modules, workbench and violations dashboard - Ability to independently interpret regulations/client mandates accurately - Strong knowledge on Aladdin BQL and Investment Compliance logics - Expertise and deep knowledge in MAS CCIS, CPFIG, UCITS and/or the respective local regulations of Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan. - Strong understanding of Investment management workflows and processes PERSONAL ATTRIBUTES - Highly diligent, resourceful and curious - Excellent English communication skills, written and verbal. Candidates with local language expertise in any of the countries stated here will be preferred. (Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan.) - Strong oversight monitoring and problem-solving skills - Attention to detail with a passion for quality - Effective inter-personal skills and ability to work with different stakeholders - Maturity, commitment, and drive - Resilient in dealing with multiple initiatives and challenges - Interest in innovation and technology to standardize and optimize operations - Forward looking mindset, independent judgment and robust analytical skill - Ability to handle extreme stress and work under extremely tight time pressure while still having clarity of thought as any wrong judgement/analysis will result in active regulatory / client mandate breaches and substantial financial / reputational losses - Ability to work independently with minimum supervision

Our investment professionals are responsible for delivering investment outcomes to our clients. They are enabled by many teams including Investment Monitoring, which is responsible for investment compliance oversight & support functions. KEY ACCOUNTABILITIES Investment Compliance – assist business owners to pre-empt, advise, identify, and monitor investment Compliance limits and restrictions (imposed by regulations and/or clients) Reporting – provide timely analysis, reports/reporting and escalation of exceptions on investment limits and restrictions and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters. On-going monitoring and review of both new and changes to regulations / client mandates relating to investment compliance for Singapore, Malaysia, Indonesia, Thailand, Taiwan, Hong Kong, China, Korea and Japan. Duties and Responsibilities: Investment Guidelines Compliance •Conduct daily pre-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered during order creation and order execution within a turnaround time of 5-15 minutes maximum. •Conduct daily post-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered at post-trade. Where compliance violations are deemed as breach of investment guidelines, to ensure proper notification and follow up till rectification to portfolio manager, including to the client where required •Ensure proper and complete recording of breaches in the breach register •Perform daily review of pre-trade audit file by generating the pre-trade violations records from system, review pre-trade violation comments from the output file •Pre-emptive compliance via providing investment compliance related advices to portfolio managers even before they place orders •Collaboration with Trustees and Custodians to ensure fund compliance by reviewing the breaches reported by them and reconciling against system’s record and response to their inquiries •Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction •Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation •Perform reviews of manual control rule monitoring of off-system checks for those task/guidelines that cannot be tracked accurately in system via coded rule •Derivatives exposure calculation by performing additional manual netting and offsets against underlying assets according to the regulatory requirements; and reporting the figures to the portfolio managers •Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required •Provide timely compliance reports and certification to clients and internal stakeholders on monthly, quarterly and/or annual basis by preparing the list of breaches detected during the period, generating compliance reports from system, review and remove rules not related to fund guidelines or regulatory guidelines from the report •Perform daily and monthly manual tasks on Securities Lending Program on SICAVs using securities lending data from lending agent and checking for adherence to various parameters such as lending limits against SICAV fund’s NAV, issuer exposure on collaterals received, aggregate counterparty exposure on collaterals from securities lending and portfolio positions from system, approved borrowers check and aggregate ownership limits from collaterals and portfolio positions •Coordinate and work with the Head Office team in terms of alignment and improvements in processes •Completeness review of rules coded in Aladdin by matching the coded rules against the fund and or regulatory guidelines to ensure all guidelines are properly coded and documented in Aladdin •Rolling out FM attestation of rules coded for their funds. •Conduct rule coding accuracy analysis Delegation Oversight •Review the regular attestation received from delegates and escalate any guideline compliance issues to management •Participate in on-going due diligence on delegations related matters Coding & Innovation •Regulations and Guideline interpretation, translation, testing and sign-off •Lists maintenances by reviewing and updating of various lists in the system on daily and ad-hoc basis, reconciling records against client’s lists to ensure completeness •Pre & Post trade monitoring process & policy documentation General Assignments •Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team’s Investment Compliance functions, such as -assist in new instrument approval process -regulatory inspection / queries management •Singapore Public Holiday coverage may be required EXPERIENCE / QUALIFICATIONS - Graduate or post-graduate degree in Business/Accountancy/Finance - Minimum 5 years working experience in investment compliance related functions - Proficient in BlackRock Aladdin full suites of Compliance modules, workbench and violations dashboard - Ability to independently interpret regulations/client mandates accurately - Strong knowledge on Aladdin BQL and Investment Compliance logics - Expertise and deep knowledge in MAS CCIS, CPFIG, UCITS and/or the respective local regulations of Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan. - Strong understanding of Investment management workflows and processes PERSONAL ATTRIBUTES - Highly diligent, resourceful and curious - Excellent English communication skills, written and verbal. Candidates with local language expertise in any of the countries stated here will be preferred. (Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan.) - Strong oversight monitoring and problem-solving skills - Attention to detail with a passion for quality - Effective inter-personal skills and ability to work with different stakeholders - Maturity, commitment, and drive - Resilient in dealing with multiple initiatives and challenges - Interest in innovation and technology to standardize and optimize operations - Forward looking mindset, independent judgment and robust analytical skill - Ability to handle extreme stress and work under extremely tight time pressure while still having clarity of thought as any wrong judgement/analysis will result in active regulatory / client mandate breaches and substantial financial / reputational losses - Ability to work independently with minimum supervision

About The Role : Job Title:Sr. Analyst Location:Gurgaon, India About The Role :: Candidates will gain exposure to a wide range of industries and investment structures. As a result of the breadth of the experience, candidates will develop a unique understanding of companies, capital structures, and credit markets. Responsibilities: Analyzing investment guidelines and interpret them to build logic-based rules to implement into automated investment compliance system for monitoring. Deliver daily/monthly/quarterly compliance reports to PM team for the new violations across all investment policies. Support onshore team by assisting them in post trade compliance monitoring activities across all the investment strategies. Assist in identifying the data governance and data reconciliation issues. Must be good with people management skills, must have on papers experience Qualifications: Bachelors degree with a preference to advanced degree or progression towards CFA/FRM/CAIA 4-6 years of relevant experience in investment compliance monitoring with an exposure towards rule coding. Knowledge of guideline monitoring or coding in compliance systems e.g., Charles River, Bloomberg, LZ Sentinel, Aladdin or Clearwater Analytics would be an added advantage. Good to have experience in querying database and analyzing large data sets Deliver NoPerformance ParameterMeasure1ProcessNo. of cases resolved per day, compliance to process and quality standards, meeting process level SLAs, Pulse score, Customer feedback2Self- ManagementProductivity, efficiency, absenteeism, Training Hours, No of technical training completed

Department General Counsel Shared Services Reports To Senior Manager - Portfolio Compliance Monitoring Level 5 General Counsel General Counsel (GC) is a trusted advisor to all parts of FIL, providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management General Counsel Shared Services: The General Counsel Shared services function is a global centre of expertise currently being built out in Dalian and India. It will provide operational support and services to the General Counsel function. Three key verticals of GC shared services are:- Reporting and Systems - Central hub in GC for all reporting and systems related activities. Operations - This is bouquet of various service offering for GC like Training Admin, support in Europe compliance, information barriers, legal and co sec ops. Investment Compliance - Compliance team in India provides effective monitoring of FILs funds to ensure compliance with funds mandates and regulatory rules in verticals like Portfolio compliance Monitoring, Investment Management Compliance Advisory and Investment Management Compliance Monitoring. Portfolio Compliance Monitoring: The Portfolio Monitoring team is a global function is part of FILs Global Investment Compliance and Monitoring department, with teams present in Hong Kong, London and Gurgaon. The team is primarily responsible for performing End of Day (EOD) portfolio compliance monitoring for all retail and institutional products globally managed by FIL as well as coding portfolio restrictions and investment guidelines in compliance monitoring system. The Portfolio Monitoring team also provides compliance guidance and support to FILs investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FILs institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system. Key Responsibilities Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts guidelines; Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded; Regular Rule maintenance on compliance system i.e. CRD; Conduct Account Mapping Review viz a viz applicable rule; Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended; Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams; Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules; Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines; Assist in resolving queries with regional compliance teams; Assist with ongoing review of relevant processes and procedures to ensure best practice; Assist in a range of FIL-wide projects or tasks; Assist with ad-hoc compliance monitoring tasks, as required. Experience and Qualifications Required Experience in Investment compliance guideline rule coding in Charles River is a must; Good understanding of Charles River system workflows and parameters; Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; Technology Savvy with experience in writing high quality, readable, reusable, testable code; Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; Good instrument knowledge of equities, fixed income and derivatives; Must have understanding of ESG guidelines and frameworks; Be a strategic thinker, possess strong facilitation and data gathering skills; Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; CFA or Bachelor of Business or Commerce preferred; Business-level verbal and written English communication presentation skills; Positive team player as well as the ability to work on their own initiative; Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

Prudential s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed. PHI -Manager - Risk Prudential (UK) in partnership with the HCL group plans to set-up a standalone Indian health insurance company to address the growing healthcare needs of the Indian consumer. This joint venture will combine Prudentials global expertise in insurance and financial services with HCL Group s experience in technology and healthcare solutions. Prudential, with its longstanding presence in India, already operates two leading businesses in life insurance and asset management with the ICICI Group. Prudential was also the proud sponsor of the 1983 Cricket World Cup, India s first World Cup Victory! Prudential Health India is a Zero to One team undertaking a no-legacy, greenfield health insurance deployment in India, building journeys that truly empathize with the customer and offer a differentiated experience. To partner with us in this mission, we are looking for a dynamic and Risk Manager to ensure the efficient and seamless operation of the Risk Department and plays a crucial role in identifying, assessing and mitigating risks in the organization. Reporting to Head of Risk/Chief Risk Officer Location: Mumbai The Manager of Risk and Investment Compliance is responsible for ensuring that the organization adheres to all regulatory requirements and internal policies related to risk and compliance, with a specific focus on compliance with IRDAI regulations. This role requires a deep understanding of financial markets particularly Insurance, Cyber Security, and also involves monitoring compliance, and conducting audits. Key Responsibilities Identify potential risks that could impact the organization s operations and financial performance. Conduct comprehensive risk assessments to evaluate the likelihood and impact of identified risks. Develop risk profiles and maintain a risk register. Develop and implement risk management policies and procedures. Monitor the effectiveness of risk mitigation measures and adjust as necessary. Collaborate with various departments to ensure risk management practices are integrated into daily practices. Maintain records of risk assessments, mitigation plans, and compliance activities. Develop and implement standard operating procedures for Risk Management, including its regular review and updating as per current regulations and best practices. Support Chief Risk Officer in strategic risk management matters. Qualification Experience Master s degree in finance, Law, Economics, or a related field; advanced degree preferred. Relevant certifications such as CFA, CAMS, or similar are a plus Minimum 10 years of experience in insurance domain In depth knowledge of insurance sector Strong leadership and organization skills Excellent communication and interpersonal abilities Skills Analytical skills Problem solving skills Data handling expertise Familiarity with risk assessment tools IRDAI Regulatory Knowledge What we offer Competitive salary Career development opportunities for professional growth and development including training and mentorship programs Recognition as a key member of our leadership team Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines. Key Responsibilities: Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions. Conduct pre-trade and post-trade compliance reviews. Interpret investment mandates and extract rules to build and maintain compliance rule matrices. Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing. Lead and mentor a team of analysts , driving performance management, technical training, and process improvement. Collaborate with cross-functional teams for client onboarding, change management, and audit support. Conduct compliance testing, investigations , and root cause analysis on rule violations and trading exceptions. Analyze exception-based reports for AML, market manipulation, and short-term trading risks. Maintain and update restricted securities/watchlists , investment policies, and procedural documentation. Provide compliance reporting and metrics to senior management, regulators, and auditors

Job Title: Process Improvement Analyst - Investment Compliance Key Responsibilities Study and Improve Processes Understand how things are currently done, identify problems or slow steps, and design better ways to do the work. Use Technology for Better Results Recommend tools (like automation or software) to make tasks faster and easier. Work with Others to Plan Improvements Talk with managers and teams to understand their goals, share ideas, and help shape future plans. Lead Projects Take the lead on improvement projects involving different departments and IT. Support Learning and Change Share good ideas and teach others. Help people adjust to new ways of working. Other Duties Help with other tasks and special projects as needed. What Were Looking For Education: Bachelors degree or similar experience in business, technology, law, or a related area. Experience: - 68 years working in process improvement or tech-related roles. - Knowledge of business processes and improvement methods like Lean, Six Sigma, or BPM. - Experience in consulting, data analysis, or project management is helpful.