Investment Compliance. Mancer Consulting Services

10 - 16 years

25 - 40 Lacs

Pune, Gurugram

Work from Office

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

Posted 3 months ago

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