UCITS Regulatory Framework Specialist,29162

Chennai (Work from Office – 5 days)

Experience

Shift Timings

Virtual Drive – 17th Jan

(We are looking for an experienced Platform Control & Violation Management (PCVM) Team Leader to manage Investment Restrictions Monitoring and Compliance Operations across global teams.

The role involves leading a high-performing team, ensuring strong compliance controls, overseeing guideline onboarding and violations, and partnering with investment desks and stakeholders across asset classes.

Lead and manage a global PCVM team handling investment restriction monitoring and violation oversight

Ensure high-quality delivery of pre-trade advice, overnight monitoring, and issue escalation

Review team output to maintain consistent quality and control standards

Foster a collaborative, high-performance team culture

Maintain and enhance compliance control frameworks

Stakeholder Engagement & Projects

Act as primary liaison with investment desks, product teams, and client stakeholders

Represent the team during audits, regulatory reviews, and client discussions

Provide KPI reporting and support strategic compliance initiatives

Training & Development

5–8+ years of experience in Investment Management with strong exposure to Investment Restrictions Monitoring / Compliance Operations





- Hands-on experience with Aladdin (minimum 5+ years)
- Robust SQL proficiency for analysis and reporting
- Advanced Microsoft Excel skills (mandatory)
- Proven team leadership experience, managing global or multi-time-zone teams
- Strong knowledge of regulatory frameworks such as:

Strong risk management, policy setting, and control assessment capabilities

Experience in process automation, data analytics, or technology-driven improvements

Exposure to performance and regulatory reporting

Familiarity with IMAs, prospectuses, and legal client documentation

Experience leading cross-functional projects or system migrations

Knowledge of fund accounting, portfolio compliance tools, or risk monitoring frameworks

Ability to identify and implement efficiency and risk-reduction initiatives

Experience working with multi-jurisdictional compliance requirements

Willingness to work 5 days from office (Chennai)

Valid passport or acknowledgement of passport application

Stable internet and laptop for virtual interviews

Business formal / business casual attire for interviews

Committed to quality, governance, and continuous improvement

Skills: aladdin,sql,microsoft excel,investment restrictions monitoring,risk management,investment management,compliance operations

📌 Regulatory Compliance Consultant I (Chennai)
🏢 Umanist NA
📍 Chennai