Manager

Manager

Roles & Responsibilities:

• Compliance Framework

  : Put in place investment restrictions and limits in line with regulatory requirements, fund mandates, and applicable policies.

• Exception Management

  : Resolve

  pre-trade and post-trade compliance exceptions

  generated by systems like Aladdin during the order management process.

• Limit Monitoring

  : Maintain and enforce internal threshold limits according to applicable regulations and address various information requirements.

• Alert Analysis

  : Analyze and address any repetitive alerts or warnings generated by the system to assess the need for reassessment of internal thresholds.

• Cross-functional Collaboration

  : Collaborate with Portfolio Managers, Technology, and Compliance teams to ensure appropriate limit monitoring.

• System Onboarding

  : Take an active role, especially during the initial days, to ensure the smoother system onboarding of the monitoring framework.

Skills Required:

• Proven experience in investment compliance and regulatory requirements.
• Strong analytical skills to analyze system alerts and resolve compliance exceptions.
• Excellent collaboration and communication skills to work with Portfolio Managers, Technology, and Compliance teams.
• Experience with an order management system like Aladdin is a plus.
• An active interest in system onboarding and framework implementation.

QUALIFICATION:

• Bachelor's degree in Finance, Business, or a related field, or equivalent experience.