6 Lz Sentinel Jobs

Position Overview Job Title: Business Supervisory Office Regulatory Control Senior Advisor, AVP Location: Mumbai, India Role Description As a support role in the Business Supervisory Office (BSO) team, you will ensure that, The US Private Banking Business is compliant with local rules and regulations in transacting business for its clients. You shall also assist in reviewing that all business transacted for the clients are in their best interest (i.e. compliant with the Reg BI rule) and in line with their Suitability and risk profiles. This requires reviewing and providing disposition for daily trade alerts generated via the Surveillance systems implemented, analysis of trade related data an...

Job Description Are you looking for an exciting opportunity to join a dynamic and growing team in a fast paced and challenging area This is a unique opportunity for you to work in the Guidelines team to partner with the Business. As an Associate in the AM Guidelines team, you will support portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. You will be responsible for coding client & compliance regulations in systems, managing alerts and breaches generated pre/post trade, and communicating effectively with various stakeholders. This role offers the opportunity to engage in new account coding, reviews,...

Job Description Are you looking for an exciting opportunity to join a dynamic and growing team in a fast paced and challenging area This is a unique opportunity for you to work in the Guidelines team to partner with the Business. As an Associate in the AM Guidelines team, you will support portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. You will be responsible for coding client & compliance regulations in systems, managing alerts and breaches generated pre/post trade, and communicating effectively with various stakeholders. This role offers the opportunity to engage in new account coding, reviews,...

Are you looking for an exciting opportunity to join a dynamic and growing team in a fast paced and challenging area This is a unique opportunity for you to work in the Guidelines team to partner with the Business. As an Associate in the AM Guidelines team, you will support portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. You will be responsible for coding client & compliance regulations in systems, managing alerts and breaches generated pre/post trade, and communicating effectively with various stakeholders. This role offers the opportunity to engage in new account coding, reviews, and revisions, ...

Regulatory Control Senior Advisor, AVP Position Overview Job Title: Business Supervisory Office - Regulatory Control Senior Advisor, AVP Location: Mumbai, India Role Description As a support role in the Business Supervisory Office (BSO) team, you will ensure that, The US Private Banking Business is compliant with local rules and regulations in transacting business for its clients. You shall also assist in reviewing that all business transacted for the clients are in their best interest (i.e. compliant with the Reg BI rule) and in line with their Suitability and risk profiles. This requires reviewing and providing disposition for daily trade alerts generated via the Surveillance systems imple...

Investment Compliance is a sub function of Global Compliance team. Investment Compliance is part of Center of Excellence (CoE) and provides necessary assistance to Global Investment Compliance (IC) function from Hyderabad office. This role would also provide support as required to EMEA, US, CA and APAC IC teams, in accordance with relevant regulations (like: 1940 Act, UCITS, FCA, COLL, ESMA guidelines, SFC Rules, etc.) and fund-specific investment restrictions as contained in the prospectus or investment management agreement. This role requires applicable IC related skills (experience in rule coding, post trade monitoring and allied reporting) to be effective. Your Role Perform the review of...