61 Investment Compliance Jobs

Access brochures for each module. Understand how Funds-Axis delivers audit-ready automation across every function. Trusted by Leading Firms We help financial institutions manage complex, multi-jurisdictional compliance with confidence. Our platform streamlines reporting, disclosures, and oversight for Platform ManCos, asset managers, hedge funds, wealth managers, and global depositaries, as well as alternative asset firms, including private equity, AIFMs and depositaries, keeping operations efficient, audit-ready and compliant. Select from specialist modules across investment compliance, risk monitoring, regulatory reporting, ESG, shareholder disclosure, and fund documentation. Built to meet...

Streamline post-trade investment restriction monitoring with a highly automated, easily accessible solution, whether you re managing one portfolio or a thousand. The Challenge: Regulatory Complexity Operational Inefficiencies Asset Managers and Depositaries must monitor an increasingly complex array of regulatory rule sets, alongside prospectus limits, investment mandate agreements, industry sector classifications, sanctions, ESG criteria, and more. Robust systems and controls are essential to ensure portfolios remain in continuous compliance. The Solution: Automated Investment Compliance Monitoring Our investment compliance monitoring platform unifies rule-checking, exception monitoring, an...

One platform for all your global regulatory reporting needs. The Challenge: Complex, Burdensome Reporting Requirements For compliance teams, asset managers, and depositaries, regulatory reporting is more demanding than ever. Evolving rules across jurisdictions, tight deadlines, and increasing scrutiny leave little margin for error. Manual processes, fragmented data sources, and spreadsheets make it difficult to meet obligations efficiently, while raising the risk of costly fines, reputational damage, and operational bottlenecks. The Solution: Automated, End-to-End Regulatory Reporting Software Funds-Axis regulatory reporting software transforms how your firm addresses global reporting challe...

We are trusted by leading global firms across the investment and fund services landscape. We provide our clients with the technology, insight and precision they need to master complexity. We do this at scale and with confidence. What Our Clients Say Funds-Axis has transformed how we manage global shareholder disclosures. With automated monitoring across 80+ jurisdictions and pre-coded rule libraries, we ve significantly reduced manual effort and compliance risk. Global Depositary Shareholder Disclosures The automation of our fund document production has been a game-changer. From KIIDs to PRIIPs and regulatory templates, Funds-Axis delivers accurate, auditable outputs fast, scalable, and full...

Streamline investor communications. Automate fund documentation. Stay compliant with evolving disclosure requirements. The Challenge: Fragmented, Manual Investor Communication For fund managers, depositaries, and compliance teams, producing investor disclosures across multiple jurisdictions is complex and resource-heavy. Different regulations, from PRIIPs and UCITS to ESG and cost disclosures, require precise, up-to-date information in multiple formats and languages. Without automation, processes are slow, error-prone, and at risk of regulatory breaches, reputational damage, and investor dissatisfaction. The Solution: End-to-End Investor Communication Automation Our Fund Document Solutions a...

In this role you will be working as a member of the Compliance Team and be responsible for the day to day administration of compliance related activities for Principal Financial Group Activities may involve the compiling and correlating of legal and compliance data, conducting research and analysis, and aiding in the development, implementation and maintenance of policies, procedures and controls, and other firm and investment compliance functions Support global investment initiatives through participation in projects, process reviews and/or system enhancements Incumbent should be open to hybrid and remote working models as well as multi work day schedule options Note: Essential Functions % ...

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 co...

Role Overview: As part of the Center of Excellence (CoE) for Investment Compliance at Invesco, you will be providing essential assistance to the Global Investment Compliance (IC) function from the Hyderabad office. Your role will involve supporting the Americas IC teams in adherence to relevant regulations and fund-specific investment restrictions. Your expertise in IC-related skills, such as rule coding, rule testing, post-trade monitoring, and reporting, will be crucial for the effective performance of your responsibilities. Key Responsibilities: - Monitor the investment guidelines of client portfolios and promptly address violations, both active and passive, by communicating with onshore ...

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...

Department General Counsel Shared Services Reports To Senior Manager - Portfolio Compliance Monitoring Level 5 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, includin...

About the Job : Responsible for ensuring compliance with SEBI (Alternative Investment Funds) regulations, and other applicable laws/ regulatory requirements for category II AIFs. The role involves monitoring funds operations, investor reporting, regulatory filings, and providing guidance to business teams on compliance matters Key Responsibilities Compliance with all regulations pertaining to category II AIF at SEBI, in relation to investment and reporting from time to time to SEBI. Quarterly/ time to time reporting keep the record for audit. Documentation and compliances of investee companies/investors and keeping the record and compliance with investor and investee agreement of AIF CAT II....

Purpose of the Job: The position is responsible for promoting hybrid products by engaging with stakeholders investors and distributors. The role would also involve preparing pertinent materials and collaborating with internal stakeholders. Key responsibilities: Drive gross and net sales for Hybrid Funds across target segments. Conduct investor awareness programs, distributor group meetings, and high-touch one-on-one sessions to communicate product relevance and benefits. Develop and deliver compelling product narratives that align with evolving investor needs Liaise with Investment, Compliance, Marketing, and Sales teams to ensure consistent product positioning and regulatory alignment. Coor...

This is regarding opening with a leading Investment Advisory Firm as an AVP/VP- Compliance category 3 Designation: AVP/VP- Compliance category III Experience: 6 to 15 years of work experience in Compliances, Operations and Accounts of AIF 3 and the Investment Location: Mumbai/Gurgaon/Any where in India Job Role: Finance & Accounts (Indian Entity) Manage accounts, billing, audit, invoices, taxes, salary processing, banking, and treasury operations with support from external vendors. Prior exposure to transfer pricing and POEM (Place of Effective Management) will be an added advantage. Compliance & Governance (Indian Entity) Ensure timely completion of statutory compliances, board resolutions,...

Position Name - Compliance Manager - Mutual Fund Location - Mumbai Experience Range - 8-10 years Mandatory Requirement: strong background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes. Job Roles and Responsibilities: Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Also cater to the reporting needs of the management as may arise from time to time. Framework i.e. policies around PMLA, KYC, processes around client due diligence, analysis of alerts, tracking regulatory / industry developments, minutes, paperwork. Implementation of Policies around conflict o...

**Role Overview:** As an Investment Compliance professional, your primary responsibility will be to ensure adherence to investment compliance limits and restrictions set by regulations and clients. You will be expected to provide timely analysis, reports, and escalation of exceptions related to investment compliance. Additionally, you will play a crucial role in monitoring and reviewing regulations and client mandates across multiple countries. **Key Responsibilities:** - Conduct daily pre-trade and post-trade Investment Compliance monitoring to identify and resolve compliance violations promptly. - Record breaches in the breach register and ensure proper notification and follow-up with port...

Accounting Maintain accurate books in Tally and Excel. Ensure correct recording of investment-related entries Taxation & Compliance Assist in preparation of capital gains reporting Documentation Support in documentation for investments

Accounting Maintain accurate books in Tally and Excel. Ensure correct recording of investment-related entries Taxation & Compliance Assist in preparation of capital gains reporting Documentation Support in documentation for investments

Key Responsibilities Delivery • Lead the broader Investment Compliance Operations team in India, providing management oversight and support to the team in India. • Provide hands-on oversight and guidance to the team in ensuring that all applicable regulatory and/or IMA restrictions and guidelines, applicable to various FIL managed portfolios, are accurately set-up in the Portfolio Compliance Monitoring system. • Evaluate investment restrictions for compliance testing and provide expert level guidance and support to the team members on end of day testing and related queries. • Develop and maintain effective management information, KPIs and reporting metrices for the GIC function. • Work close...

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 distinctive investment management capabilities, Invesco provides a wide range of investment strategies and vehicles to clients around the world. If you are seeking challenging work, smart colleagues, and a global employer with a social conscience, explore your potential at Invesco and make a difference every day. Your Role: - Daily Monitoring of investment restrictions and guidelines. - Learn and practice rule coding and testing in Order Management System (OMS). - Responsible for identifying any unusual or potential breaches...

Your Role Daily Monitoring of investment restrictions and guidelines. Learn and practice rule coding and testing in Order Management System (OMS). During normal day-to-day operation, responsible for identifying any unusual or potential breach through transaction activity and reporting and/or escalating in accordance with the guidelines detailed in relevant operating procedures. Help in preparing documentation to support reviews conducted and to substantiate and demonstrate adequate processes / controls to meet SEC / regulatory requirements and ensure compliance with all policies and procedures. Interact with members of the global compliance team to assess, document, monitor, report, develop,...

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...