5.0 - 10.0 years

5 - 10 Lacs

Navi Mumbai, Maharashtra, India

On-site

We are seeking a Manager to establish and enforce investment restrictions and limits in line with regulatory requirements and fund mandates. You will be responsible for resolving pre- and post-trade compliance exceptions, analyzing repetitive system alerts, and collaborating with various teams to ensure appropriate limit monitoring. This role requires an active interest in ensuring the smooth onboarding of the monitoring framework and a focus on maintaining compliance within the organization's governance framework. 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.

Posted 10 hours ago

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