• Team Lead/Manager/AVP - Portfolio Compliance - Coding & Monitoring/Trade Surveillance & Alert Management Jobs in Mumbai,India

  • Crescendo Global
  • Save Job
  • 4 - 12 Years
  • Posted : above 1 month

Job Description:

Portfolio Compliance Coding, Monitoring, Trade Surveillance and Alert Management job opportunity in Mumbai and Bangalore with a Leading MNC for a professional holding at least 4 to 12 years experience in updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines You will utilize your experience in Coding that involves setting up client & compliance regulations in systems to enable effective monitoring of guidelines and monitoring requires managing the alerts, breaches generated pre/ post trade as a result of trades/ non-trading actions and communicating effectively with various stakeholders If this sounds exciting, apply with us




A leading, global firm with a distinguished clientele providing extensive financial and asset management services



- 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


- Post-trade violation investigation & resolution

- Classification of Active v/s Passive breach

- Assistance with Client certifications/ attestations

- Additional review of regulatory breaches around UCITS and 1940 ACT regulations

- Classification of Fund Portfolio investments

- Manual test execution as per defined periodicity

- Perform Annual account review

- Coordinating with Portfolio managers and Investment specialists for fund breaches

- Execute Client service group duties and coordinate between various portfolio managers

- Lead Governance meetings with stakeholders

- Participate in local and global Projects

- Product Lead and People Management


- 4-12 years of work experience of Portfolio Guidelines Coding/ Monitoring

- 5+ years in people management role

- 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

- Strong analytical, prioritization, organizational, multi-tasking and detail orientation skills

- Excellent communication skills


- An opportunity to define, work and coordinate the operations of the company

- An opportunity to work with a diverse nature of business and the global markets

Profile Summary:

Employment Type : Full Time
Salary : Not Mentioned
Deadline : 14th Mar 2020

Key Skills:

Company Profile:

Not Mentioned

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