Role Description
Work within a team responsible for Investment Restriction Compliance Management: violation oversight, onboarding and query resolution.
• Deliver and oversee the daily review of overnight violation monitoring; escalate and follow through issues appropriately.
• Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues. Providing advice and assisting pre-trade violation overrides.
• Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.
• Deliver mandate investment guideline on-boarding and change activities, supporting initial impact assessments and implementation of controls onto the Aladdin platform suitable to your level of experience. Review the coding changes done by other team members.
• Support source document processing, identification, capture and fulfilment of commitments. These will be sourced from IMAs, regulations or internal teams etc.
• Collaborate with Client teams and external vendors to implement consistency, best practice and enhance the control environment.
• Resolve queries received and deliver regular tasks to high standard and delivered within agreed service levels, continuously ensuring a robust and efficient control environment.
• Assist in audit/regulator/client queries and visits coordinating requests and ensuring timely delivery of responses.
• Highlight and analyse gaps and troubleshoot errors and provide onward communication / training to message risks / gaps, propose creative tested solutions
• Keep abreast of changes in the industry and regulations.
• Participate/Lead in projects and working groups relating to new markets, instruments and mandate in order to assess the impact on restrictions monitoring, and initiatives including providing suggestions on efficiency and risk deduction.
• Coach, mentor and train junior members of the team, ensuring procedures and materials are k
📌 Associate III (Chennai)
🏢 UST
📍 Chennai