41 Investment Compliance Jobs

As a Capital Markets Operations Analyst at Accenture, your role will involve working within the Implementation team to onboard new accounts and products, oversee amendments to existing accounts, and program all restrictions into the firm's investment compliance monitoring system, Charles River (CRD). You will consult with and provide information to investment personnel, attorneys, client operations managers, and other internal and external parties. Additionally, you will be responsible for assessing the impacts of regulatory changes, new investment strategies, and data changes on the CRD rule library. You will also participate in and manage projects assigned by the Investment Compliance lead...

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 complia...

Join our Depositary Services Operations team and help safeguard client assets through robust oversight and compliance. This role offers exposure to diverse fund structures and the opportunity to collaborate with global partners. Develop your expertise in fund operations while driving process improvements and delivering high-quality service. Job Summary As an Operations Associate within the Depositary Services Operations team, you play a critical role in supporting fund oversight processes. You execute operational and oversight activities to ensure client assets are protected and compliance standards are met. You collaborate with internal teams and external partners to address data issues, mo...

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 inve...

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 comp...

The role of Senior Manager - Compliance Monitoring & Surveillance within the General Counsel Shared Services department in Gurgaon, India, at Fidelity International Limited involves overseeing the Investment Compliance Monitoring & Surveillance program to ensure market integrity and meet fiduciary duties to clients. As a key member of the team, you will collaborate with colleagues and stakeholders to deliver a comprehensive surveillance program and conduct desktop and thematic reviews based on business risk assessment and risk appetite related to Fidelity's investment management activities. Your dedication and analytical skills will contribute to the success of the oversight and assurance pr...

Roles and Responsibilities Conduct business analysis on investment banking and compliance projects, ensuring alignment with regulatory requirements. Develop data mapping strategies to identify key performance indicators (KPIs) for surveillance monitoring and risk management. Collaborate with cross-functional teams to implement smarts solutions for efficient processing of transactions. Desired Candidate Profile 8-13 years of experience in a similar role within the financial services industry. Proficiency in Smarts technology platforms used for transaction processing and risk management. Strong understanding of business analysis principles, data mapping techniques, and surveillance monitoring ...

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! This position would be part of the Center of Excellence (CoE) for Investment Compliance and provide necessary assistance to Global Investment Compliance (IC) function from the Hyderabad office. The role would...

Main Skills/Expectation Post trade Compliance Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective teams (i.e. regional compliance, portfolio manager, etc.) to ensure rectification. Should be familiar with Compliance Guidelines to name few - Leverage , Short-Sale, Credit ratings, Issuer Concentrations, Duration, Permitted/Prohibited assets. Familiar with Issuer/Issue concentration , Leverage calculations, cash exposure calculations, Share Ownership calculations To have good understanding on various asset categories and its characteristics. Should be able ...

About your team 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 function is a global centre of expertise currently being built out in Dalian and India. It provides operational support and services to the General Counsel function. The Investment Compliance Advisory team is responsible for providing compliance advice and support to the investment teams, including fund managers, research analysts, trading desks, corporate finance and their respective suppo...

Key Responsibilities- To support the Global Investment Compliance colleagues in review and evaluation of Investment Restrictions and recommend and implement such investment restrictions for compliance testing. 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. Identify, track, resolve and report compliance breaches in-line with internal policy and regulatory requirements. To assist with ongoing review of relevant processes and procedures to ensure best practice by bringing efficienc...

As an Investment Compliance professional at VOYA INDIA, you will be an integral part of the team responsible for ensuring adherence to investment policies, particularly focusing on BlackRock Aladdin platform. Your role will involve analyzing investment restrictions against fund exposure, reading fund prospectuses and policy statements to extract relevant restrictions, and amending or coding rules on BlackRock Aladdin for accurate compliance reporting. You will need to have a strong eye for detail to identify any miscalculations or deficiencies in approach, as well as the ability to understand different exposure calculations. Additionally, your investigative and research-oriented mindset will...

You will be responsible for supporting the Global Investment Compliance colleagues in reviewing and evaluating Investment Restrictions. You will also be recommending and implementing investment restrictions for compliance testing. As part of your role, you will liaise with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted. This may involve discussions with Client Services, Relationship Directors, Legal, and Product teams. Identifying, tracking, resolving, and reporting compliance breaches in line with internal policy and regulatory requirements will be another key aspect of your responsibiliti...

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, re...

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 ...

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 ...

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 spe...

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. Monitor...

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. Monitor...

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,...

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 Monitor...

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 complia...

: 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 rec...

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 confirm...

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 requ...