56 Investment Compliance Jobs - Page 3

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 Prudent...

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 ...

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 othe...

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 ...

Job Purpose "This position is open with Bajaj Finance ltd." Duties and Responsibilities 1.Ensure full compliance to the set process for the assessment and capture of all required data for the preparation of credit monitoring dashboards. 2.Ensure adherence to the set timelines for delivery of the credit monitoring dashboards and related projects. 3.Monitor the alerts generated by the dashboards, communication of the same to respective stakeholders and maintain a tracker to monitor action taken. 4.On a regular basis, participate in the development related activities to enhance the scope and effectiveness of the credit monitoring dashboards. Required Qualifications and Experience CA/MBA with 1-...

Key Responsible Areas Corporate Governance, Legal, and Investor Relations 1. Corporate Governance & Secretarial Compliance • Ensure timely compliance with all statutory and regulatory requirements. • Liaise with external secretarial consultants (KANJ) for matters related to Board meetings, ROC filings, and other company law compliances. • Handle Board and General Meetings, including coordination, documentation, and record maintenance, in compliance with applicable legal standards. 2. Investor Relations & Communication • Act as the primary liaison for investor communication, queries, and periodic updates. • Serve as the primary point of contact for investor communications, queries, and period...