Senior Manager- Portfolio Compliance Monitoring

Key Responsibilities
Delivery• Lead the broader Investment Compliance Operations team in India, providing management oversight and support to the team in India. • Provide hands-on oversight and guidance to the team in ensuring that all applicable regulatory and/or IMA restrictions and guidelines, applicable to various FIL managed portfolios, are accurately set-up in the Portfolio Compliance Monitoring system. • Evaluate investment restrictions for compliance testing and provide expert level guidance and support to the team members on end of day testing and related queries. • Develop and maintain effective management information, KPIs and reporting metrices for the GIC function. • Work closely with other advisory and monitoring leads, to identify improvement opportunities, actively drive efficiency, consistency and best practice globally • Represent in relevant various technology projects and enhancements. Assist in a range of other FIL-wide projects or tasks as may be required from time to time. • Develop and maintain effective working relationships with other functional areas for timely receipt of information required for the completion of tasks. • Provide a high-quality timely service to internal and external customers

Leadership
• Contribute to building a high performing team by managing a direct report as well as coaching other team members • Anticipate potential conflict and the need for change, before these negatively impact on delivery • Lead by example, demonstrating high standards of excellence and integrity fully aligned to FILs values and objectives • Ensure the team has the skills, capacity and cover it needs to provide uninterrupted support to ISS teams • Develops solid succession plans and ensures that qualified successors are identified and ready • Ensure the team always has appropriate procedures and resources in place

Working Relationships / Contacts
• Investment Compliance teams globally • Portfolio Managers, Portfolio Services Group staff globally • Trading Desks • Relationship Directors and Client Service Managers for Institutional business • Compliance Systems Support and Data Management Services • Product Development teams • Legal, Risk and other GC teams • Investment Administration

Experience and Qualifications Required

• More than 10 years’ experience in working in the financial industry (preferably buy side) and of investment products. Strong knowledge and experience in portfolio compliance monitoring and rule coding using Charles River (or similar) systems • Strong understanding of Investment Compliance and related processes, including regulatory principles related to market misconduct and conflict of interest. • Strong knowledge of equities, fixed income and derivatives instruments • Excellent inter-personal, communication and presentation skills, with good command on spoken and written English • Effective influencer, able to build productive relationships, while comfortable challenging and negotiating different viewpoints• Acknowledged role-model with track record of delivering excellent service• Collaborative problem-solver able to work through ambiguous, shifting and sometimes competing priorities• Positive team player as well as the ability to work on their own initiative• Strong analytical skills, problem-solving ability and attention to detail.