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  • 2 - 12 Years
  • Posted : above 1 month

Job Description:

Process Overview

Portfolio Compliance Coding & Monitoring, Trade Surveillance, Alert Management

AM Guidelines team supports portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines Coding involves setting up client & compliance regulations in systems to enable effective monitoring of guidelines Monitoring requires managing the alerts, breaches generated pre/ post trade as a result of trades/ non-trading actions and communicating effectively with various stakeholders

Description of Function


- Annotation of Investment management Agreement

- Coding client and regulatory rules on compliance platforms

- Rule Standardization

- Counterparty and broker setups for trading

- Setting up strategy benchmark and client approved security List

- Leveraging Machine learning tools for standard rule setups

- Performing analytical review of Investment Guidelines provided by investors and institutions

- Partner with various operations team to improve data availability and overall quality of underlying data

Scope & Responsibilities


- New account coding, reviews & revisions including on-boarding activities

- Review new data analytics and update compliance platforms

- Understand and setup rules as per ratings agencies

- Identification of coding issues

- Maintenance of Legal & Compliance approved & restricted lists

- Counterparty maintenance

- Work on Rule coding standardization across supported regions

- Perform periodic reviews of account coding to ensure accuracy & consistency

- Setting up trading brokers and counterparty Limits, exposure as per IMA

- Evaluate coding accuracy & communicate in case of any discrepancy

- Partner with monitoring team to reduces false breaches and manually monitored guidelines

- Lead Governance meetings with stakeholders

- Participate in local and global Projects

- Product Lead and People Management

Minimum Requirements

- 2-12 years of work experience (Depending on designation) of Portfolio Guidelines Coding/ Monitoring

- Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio

- Professional level understanding of 1940 Act, UCITS Regulations or ERISA will be added advantage

Profile Summary:

Employment Type : Full Time
Salary : Not Mentioned
Deadline : 15th Mar 2020

Key Skills:

Company Profile:

Not Mentioned

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