Associate, Compliance (Trading & Conflicts Team)

Job Description

Key Responsibilities / Duties:

• Ensure all tasks related to Investment Compliance are completed on a timely basis
• Perform daily review of portfolio transactions and monitor compliance investment guidelines as they apply to holdings and transactions, identifying breaches and following up with respective teams (i.e. Investment Compliance, Portfolio Manager, etc.) to ensure proper rectification
• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements
• Oversee data analysis with respect to regulatory filings (i.e. Form 13H large trade reporting)
• Monitor upcoming IPO calendar and report findings to Investment Compliance
• Assist with ongoing drafting and review of Standard Operation Procedures to ensure best practices are in place
• Prepare and Review Weekly/Bi-Weekly/Monthly/Quarterly status reports to share with Investment Compliance team
• Conduct periodic forensic and transactional testing
• Assist in monitoring third party Agency Data Workspaces to ensure the Firm is in compliance with respect to public/private declarations
• Interact with members of regional compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls
• Assist in the processing of employees’ personal trade requests in accordance with the Firm’s policy and standard operating procedure
• Assist in Compliance related projects, ad-hoc requests and new initiatives
• Train new hires
• Assist the team as needed and build a cohesive environment within the team

Working Timings:

• Flexible for Morning and Afternoon shifts.

Work Experience / Knowledge:

• 3-5 years of related work experience with knowledge demonstrating the skills identified; preferably in Investment Compliance and regulatory environment. Knowledge of financial products will be added advantage.

Required skill sets:

• Ability to understand the processes with clarity
• Understand the fundamentals of Compliance
• Good analytical skills
• Attention to detail
• Good interpersonal skills
• Good relationship management skills
• Good written and verbal communication skills
• Work as a team player
• Open to work flexible hours
• Proficiency on MS Office suite of applications
• Familiarity with trading systems and compliance components such as Black Mountain Everest, Advent Geneva, Salesforce, Bloomberg would be an added advantage

Formal Education:

B. Com / M. Com / MBA / CA /Degree in Commerce/Finance

Reporting Relationships

There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.