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Manager Compliance Analyst –12+ year experience

Process Overview

Portfolio Compliance: Coding, Trade Surveillance, Alert Management.

AM Guidelines team supports portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. Coding involves setting up client & compliance regulations in systems to enable effective monitoring of guidelines. Monitoring requires managing the alerts, breaches generated pre/ post trade as a result of trades/ non-trading actions and communicating effectively with various stakeholders.

Description of Functions & Role

• Annotation/Interpretation of Investment management Agreement/Prospectus/ SAI / Delegate Sleeve Agreements
• Scheduling the Annotation meeting with Desk/IS/PDs to get their buy ins on Interpretation
• Coding client and regulatory rules on compliance platforms along with rule Testing & Standardization
• Counterparty and broker setups for trading & Counterparty maintenance.
• Leveraging Machine learning tools for standard rule setups
• Performing analytical review of Investment Guidelines provided by investors and institutions.
• 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.
• 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
• Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed

Key Competencies & Skills

• Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
• Expertise of 1940 Act, UCITS Regulations or ERISA will be added advantage
• Analytical & Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills.
• One needs to understand financial instruments which are being traded by Portfolio Managers to code guidelines or to perform secondary research.
• Detail Orientation: Function is critical from an impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes.
• Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management
• Certifications: Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities & Investment) are preferred, but certification is not a must for the role

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