Job Description

The focus of this role is primarily to support the conversion of investment compliance rules from legacy compliance system (MIG) to Charles River Investment Management (CRIMS), by performing user acceptance testing of the rules, identifying the issues in rule coding and getting those addressed to ensure the client migration from MIG to CRD is seamless.

Key Responsibilities & Experience

In depth knowledge of regulatory requirements including Investment Company Act of 1940, Internal Revenue Code, UCITS, 2a-7, etc.
Preferred experience with and understanding of one or many regulatory body requirements not limited to SEC, IRS, Commodity Futures Trading Commission (CFTC), Undertakings for Collective Investment in Transferable Securities (UCITS), Committee of European Securities Regulators (CESR)
Ability to understand and decipher Prospectus, Statement of Additional Information (SAI), Investment Policies, Practices and Procedures, and other client restrictions and translate all requirements




Experience required with Rule Coding into post trade investment compliance systems defining logic-based rules and workflow processes
Knowledge of all type of investments, including domestic and international securities, equities, fixed income, derivatives, securities holding other constituents or others such as mutual funds, index securities, and other complex securities
Advanced Excel skills is a plus (formulas, pivot tables)
A background in compliance / regulatory monitoring or financial technology preferred
Project management skills (organized, self-motivated and deadline oriented)
Ability to build and maintain positive relationships with all levels of management internally within the organization

Primary Skills (Must Have)

Positive knowledge of U.S. Investment Companies Act of 1940 or UCITS
Experience required with Rule Coding into post trade investment compliance systems
Ability to understand and decipher Prospectus, Statement of Additional Information (SAI), Inve

📌 Investment Compliance Rule Coding (Bengaluru)
🏢 Charles River Development
📍 Bengaluru