Consulting - WAM - Investment Compliance: Senior Consultant

Job Summary

Role Summary: Seeking an Investment Compliance professional with strong expertise in Rule coding, financial products and regulations. The role will require eye for detail to capture all compliance requirements and avoid mistakes. The role will also require effective client interactions to build a robust relation.

Role Overview

Role: Investment Compliance - Rule Coding

Experience: 7+ Years

Domain: Asset Management, Capital Markets, Compliance, Fixed income, Equity, Derivatives, Regulations

Your Key Responsibilities

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

- Annotation/Interpretation of Investment management Agreement/Prospectus/ SAI / Delegate Sleeve Agreements

- Scheduling the Annotation meeting with Desk/IC Leads/PMs to agree on Interpretation

- Coding client and regulatory rules on compliance platforms along with rule Testing

- Counterparty and broker setups for trading & Counterparty maintenance.

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

- Review new data analytics and update compliance platforms

- Understand and setup rules as per ratings agencies

- Identification of coding issues and fix them to avoid false positives.





- Maintenance of Legal & Compliance approved & restricted lists.

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

- Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines

- Identify and analyse operations risks related to current and potential business and recommends procedural changes as needed.

- Responsible for decision-making, optimizing processes, resource management, and overseeing team management as needed for task execution.

- Accountable for allocating personnel, supervising team members, assigning tasks, ensuring that the team has the necessary tools and support to succeed in their roles and optimizing and evaluating their performance to meet organizational goals.

Skills and attributes for success

- LZ Sentinel

- Charles River

- Aladdin (Compliance)

- SimCorp Dimension

- ThinkFolio

- 1940 Act

- UCITS Regulations

- FRM

- CFA

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

📌 Sr WAM-Investment Compliance Professional (Mumbai)
🏢 EY
📍 Mumbai