We are looking for an Assistant Manager, Portfolio Compliance to join our Portfolio Compliance Team at Connor, Clark & Lunn Financial Group. Compliance plays a critical role in the investment process and in this position, you will have the opportunity to work alongside our institutional portfolio managers and affiliate compliance officers. The role of compliance continues to evolve in complexity and importance. This is a fantastic chance to be part of a growing team whose scope and visibility continues to increase

What You Will Do:

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Configure, maintain, and monitor pre‑trade and post‑trade compliance rules in Charles River based on client mandates, regulatory requirements, and firm policies, including account mapping and periodic rule reviews.

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Review and interpret client guidelines, IMAs, and applicable regulatory requirements to ensure compliance rules and monitoring remain accurate, effective, and up to date.

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Perform ongoing portfolio compliance monitoring, including investigation and resolution of breaches, ad‑hoc compliance queries, and preparation of internal,



client, and regulatory compliance reports.

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Support the testing, implementation, and ongoing enhancement of compliance monitoring processes, including identifying opportunities for efficiency improvements and automation.

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Utilize FundApps to monitor and report beneficial ownership, short selling, and takeover panel disclosures in accordance with regulatory requirements.

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Collaborate with Portfolio Management, Operations, Legal, and Compliance colleagues to resolve issues, support onboarding and change activity, and contribute to projects of varying scope and complexity.

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Contribute to the maintenance and continuous improvement of portfolio compliance procedures, controls, and documentation, and provide guidance and knowledge sharing to team members as appropriate.

What You Bring:

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Mandatory hands-on experience in investment compliance rule coding within Charles River Investment Ma

📌 Assistant Manager, Portfolio Compliance (Gurugram)
🏢 Connor, Clark & Lunn Financial Group
📍 Gurugram