7 Rule Coding Jobs

At EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture, and technology to become the best version of you. And we're counting on your unique voice and perspective to help EY become even better, too. Join us and build an exceptional experience for yourself and a better working world for all. The job involves compliance rule coding and testing experience in CRD platform with expertise and prior work experience on one or more asset classes such as fixed income, equity, derivatives, etc. It includes Guideline Interpretation, Rule Coding and Testing, Pre-Trade & Post-Trade, Compliance Monitoring, and Investment Compliance. The ideal candidate should possess strong Database programming experience (SQL, TS/PL-SQL, etc.) with at least one major Relational DBMS (Ex: Oracle, MS SQL, DB2 databases). In addition, a good understanding of Asset classes such as Equities, Derivatives, Fixed Income, and FX products is required. Your client responsibilities include working as a team member in one or more CRD projects, interfacing and communicating with the onsite coordinators, completing assigned tasks on time, and providing regular status reporting to the lead and Manager. You are also expected to interface with customer representatives as and when needed and be ready to travel to customer locations on a need basis. Regarding your people responsibilities, you will be responsible for building a quality culture, managing the performance management for direct reportees (if any), fostering teamwork, leading by example, training and mentoring project resources, and participating in organization-wide people initiatives. Preferred skills for this role include rule coding experience in platforms such as Aladdin, Charles River (CRD) Bloomberg AIM, Sentinel, etc. Rule testing and alerts monitoring experience would be an added advantage. EY exists to build a better working world, helping to create long-term value for clients, people, and society and build trust in the capital markets. Enabled by data and technology, diverse EY teams in over 150 countries provide trust through assurance and help clients grow, transform, and operate. Working across assurance, consulting, law, strategy, tax, and transactions, EY teams ask better questions to find new answers for the complex issues facing our world today.,

As an Associate, Compliance & Control II at BNY, you will have the opportunity to join the Insight Investment team in Chennai, TN HYBRID. Your main responsibilities will involve handling Pre & Post trade alerts, Guideline coding, and Guideline drafting reviews within Charles River. You will collaborate closely with senior team members to work on Guideline-related projects, suggest process improvements, and enhance your CRD technical skills. Your key responsibilities will include monitoring post-trade batch alerts daily, ensuring timely notification to front office and other business groups, coding new mandates/amendments into Charles River within agreed timelines, and verifying the accuracy of coding interpretations. You will also be responsible for addressing client guideline queries promptly, producing compliance attestations on a monthly and quarterly basis, and supporting fund managers with ad-hoc queries related to pre-trade warnings. To excel in this role, you should possess excellent academic credentials from a reputed institute, a minimum of 3-5 years of rule coding experience on Charles River (preferably on V20 or above), and relevant experience in monitoring pre & post trade compliance on Charles River or a similar Order Management System. Strong communication and analytical skills, advanced knowledge of Microsoft Word, Power Point, and Excel, as well as a solid understanding of fixed income securities and derivatives are essential for success in this role. You should also be proactive, self-supportive, and motivated to promote a positive compliance and risk culture within the firm. BNY is committed to fostering an inclusive workplace culture and has been recognized for its innovation and diversity efforts. If you are looking to make a meaningful impact and grow your career in a global financial services company that values talent and diversity, this role could be the perfect fit for you. Join us at BNY and be a part of our award-winning team that is dedicated to making money work for the world. BNY is proud to be an Equal Employment Opportunity/Affirmative Action Employer that values diversity and inclusion. If you are ready to take on a challenging yet rewarding role in compliance and control, we encourage you to apply and be a part of our dynamic team at BNY.,

As a Senior Associate, Compliance & Control at BNY, you will be an integral part of the Insight Investment team based in Chennai, TN HYBRID. Your primary responsibility will be to handle Pre & Post trade alerts, Guideline coding, and Guideline drafting reviews within Charles River. You will play a key role in assisting with Guideline related projects, suggesting process improvements, and supporting junior associates in enhancing their CRD technical skills. Your daily tasks will include monitoring post trade batch alerts, ensuring accurate and timely coding of new mandates/amendments into Charles River, collaborating with Fund Managers and Client Directors for accurate interpretation of coding, responding to client guideline queries promptly and accurately, and overseeing post-trade monitoring to escalate and record incidents proactively. Additionally, you will be responsible for producing monthly and quarterly compliance attestations within deadlines, supporting fund managers with ad-hoc queries related to pre-trade warnings, engaging with IT for system evolution, reviewing guidelines with Fund Management and Client Services teams, and devising ways to reduce operational risks and enhance process efficiency. Successful candidates for this role should possess excellent academic qualifications from a reputed institute, a minimum of 7-9+ years of rule coding experience on Charles River, expertise in pre & post trade compliance monitoring, strong communication and analytical skills, advanced knowledge of Microsoft Word, Power Point, and Excel, and a proactive and self-motivated approach towards promoting a positive compliance and risk culture within the organization. Furthermore, candidates should have a strong understanding of fixed income securities, including derivatives, and demonstrate a high level of ownership towards their role and responsibilities. BNY offers a rewarding and inclusive work culture, as evidenced by numerous awards such as Americas Most Innovative Companies, Worlds Most Admired Companies, and top performance in various sustainability and equality indices. BNY is committed to providing equal employment opportunities and fostering diversity and inclusion within the workplace, welcoming individuals from underrepresented racial and ethnic groups, females, individuals with disabilities, and protected veterans.,

Key Responsibilities • Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts guidelines; • Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded; • Regular Rule maintenance on compliance system i.e. CRD; • Conduct Account Mapping / Review viz a viz applicable rule; • Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended; Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams; • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules; • Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines; • Assist in resolving queries with regional compliance teams; • Assist with ongoing review of relevant processes and procedures to ensure best practice; • Assist in a range of FIL-wide projects or tasks; • Assist with ad-hoc compliance monitoring tasks, as required. Experience and Qualifications Required • Experience in Investment compliance guideline rule coding in Charles River is a must; • Good understanding of Charles River system workflows and parameters; • Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; • Technology Savvy with experience in writing high quality, readable, reusable, testable code; • Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; • Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; • 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; • Good instrument knowledge of equities, fixed income and derivatives; • Must have understanding of ESG guidelines and frameworks; • Be a strategic thinker, possess strong facilitation and data gathering skills; • Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; • CFA or Bachelor of Business or Commerce preferred; • Business-level verbal and written English communication / presentation skills; • Positive team player as well as the ability to work on their own initiative; • Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

Title Manager - Portfolio Compliance Monitoring Department General Counsel Shared Services Location Gurgaon, India Reports To Senior Manager - Portfolio Compliance Monitoring Level 5 Were proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel Shared Services Team and feel like you’re part of something bigger. Portfolio Compliance Monitoring: The Portfolio Monitoring team is a global function is part of FIL’s 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 FIL’s investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FIL’s institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally. About your role: You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues – within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system. Key Responsibilities Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts’ guidelines; Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded; Regular Rule maintenance on compliance system i.e. CRD; Conduct Account Mapping / Review viz a viz applicable rule; Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended; Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams; Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules; Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines; Assist in resolving queries with regional compliance teams; Assist with ongoing review of relevant processes and procedures to ensure best practice; Assist in a range of FIL-wide projects or tasks; Assist with ad-hoc compliance monitoring tasks, as required. Experience and Qualifications Required Experience in Investment compliance guideline rule coding in Charles River is a must; Good understanding of Charles River system workflows and parameters; Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; Technology Savvy with experience in writing high quality, readable, reusable, testable code; Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; Good instrument knowledge of equities, fixed income and derivatives; Must have understanding of ESG guidelines and frameworks; Be a strategic thinker, possess strong facilitation and data gathering skills; Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; CFA or Bachelor of Business or Commerce preferred; Business-level verbal and written English communication / presentation skills; Positive team player as well as the ability to work on their own initiative; Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes. Feel rewarded For starters, we’ll offer you a comprehensive benefits package. We’ll value your wellbeing and support your development. And we’ll be as flexible as we can about where and when you work – finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

At EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture, and technology to become the best version of you. We are counting on your unique voice and perspective to help EY become even better. Join us and build an exceptional experience for yourself, and a better working world for all. As a Compliance rule coder and tester on Blackrock Aladdin/other platforms professional, you will utilize your expertise and prior work experience on one or more asset classes such as fixed income, equity, derivatives, etc. Your responsibilities will include Guideline Interpretation, Rule Coding and Testing, Pre Trade & Post Trade Compliance Monitoring, and Investment Compliance. Technical experience in working with data, understanding relational data models, and executing SQL queries is essential. Exposure to working with Wealth and Asset Management firms and a complete understanding of the Buy side business will be required. Your client responsibilities will involve working as an individual contributor/lead in one or more Wealth and Asset Management projects. You may need to manage a team of junior business analysts based on project requirements. Communication with onsite coordinators, completion of assigned tasks on time, regular status reporting to the lead, manager, and onsite coordinators, as well as interface with customer representatives as needed will be part of your role. Travel to customers" locations may be required on a need basis. In terms of people responsibilities, you will be expected to build a quality culture, manage the performance of direct reportees, foster teamwork, lead by example, provide training and mentoring to project resources, and participate in organization-wide people initiatives. Mandatory skills for this role include sectorial experience in financial services/capital markets, with domain knowledge on different asset classes across front office, middle office, and back office for either or both buy and sell side of business. Knowledge of portfolio management, trade execution, data control and operations, and portfolio administration is crucial. You should have experience in understanding client requirements, relating them appropriately to the team, defining and validating customization needs for packages as per client requirements, and expertise in Oracle, MS SQL, DB2 databases, and good data analytics skills. In-depth knowledge of CFA concepts like portfolio management, wealth planning, Fixed income, Equity, Alternate investment, Derivatives, etc., is required. Leadership skills are essential for this role, along with excellent client-facing abilities. A degree in MBA/MCA/BE/B.Tech or equivalent with 8 to 10 years of experience in the financial services industry is preferred. EY exists to build a better working world, helping to create long-term value for clients, people, and society, and build trust in the capital markets. With diverse teams in over 150 countries, EY provides trust through assurance and helps clients grow, transform, and operate across assurance, consulting, law, strategy, tax, and transactions. EY teams ask better questions to find new answers for the complex issues facing our world today.,

About the job: Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts, combined with proprietary technology, supports more than 500 financial institutions and consulting companies to operate more efficiently and unlock their human capital, driving revenue higher and transforming operations. Acuity is headquartered in London and operates from 10 locations worldwide. The company fosters a diverse, equitable and inclusive work environment, nurturing talent, regardless of race, gender, ethnicity or sexual orientation. Acuity was established as a separate business from Moodys Corporation in 2019, following its acquisition by Equistone Partners Europe (Equistone). In January 2023, funds advised by global private equity firm Permira acquired a majority stake in the business from Equistone, which remains invested as a minority shareholder. Job Responsibilities: Investment compliance team is responsible for implementing controls and processes which will ensure that all investments in various portfolios are adhering to regulatory as well as client issued guidelines. The incumbent will primarily be responsible for reading investment management agreements and extracting, analyzing, coding of client, regulatory and internal investment guidelines on various compliance systems like Sentinel, Aladdin, AIM etc. The incumbent will also be responsible for performing daily review of post trade incidents, researching any potential breach during trading, liaising with onshore analysts and portfolio management teams to ensure portfolios are complying to all guidelines. Associate of the investment compliance team will be an expert in the process and should be able to perform the task with minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster. Key Responsibilities New account on-boarding activities. Guideline reviews and account coding Identify gaps in existing coding and suggest enhancements. Perform daily review of post trade incidents and perform thorough investigations to identify root cause of the failure. Liaison with portfolio managers, client relationship managers and ensure portfolio is adhering to all guidelines. Handle queries of junior team members and help them learn the process. Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team. Work on list updates which includes firm wide restricted list updates as well as client specific lists. Client certifications and attestations Perform checks on non codeable guidelines. Work on projects as required. Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Key Competencies Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Sound interpretational & logical reasoning skills to comprehend investment guidelines. Strong Microsoft Office knowledge is required. Experience in Investment Compliance functions including coding and post-trade monitoring is mandatory. Experience in one of the following solution providers is required: Sentinel, Aladdin, Bloomberg AIM, Geneva. Interested candidates can share me their resume @dolimoni.kalita@acuitykp.com