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Senior Compliance Analyst / Compliance Lead Job
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Senior Compliance Analyst / Compliance Lead

Salary (Annually)
As Per Industry Standards

Job Overview

Job Category
Gender preferred
No Preferences
Job Role
Chief Compliance Officer (CCO)
Career Level
Qualified Professional - Experienced
Functional Area
Risk Management & Compliance
Work preferred
Work from Office


Min Experience
2 Years
Max Experience
7 Years


Post Graduation
CA - Qualified, MBA/PGDM, M.Com

Job Description


  • Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded and/or to code relevant rules on order management system
  • Regular Rule maintenance on trading application i.e. Aladdin
  • Conduct Account Mapping / Review viz a viz applicable rule
  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system
  • Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process
  • Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification
  • Assist in resolving queries with regional compliance teams
  • Assist with ongoing review of relevant processes and procedures to ensure best practice
  • Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership
  • Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
  • Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
  • Act as subject matter expert in resolving complex situations in day to day tasks and mentor other colleagues in team
  • Assist in Compliance related projects and initiatives.
  • Effectively find solutions to compliance issues as they arise.

Qualifications- B. Com / M. Com / MBA /CA with  2-7 relevant experience.

Skills:-  SFC, CSRC, SEC, ERISA, CSSF and FCA,Trading,Portfolio Mnagement,Compliance.

Skills Required

MBA   B.COM   Chartered Accountant(CA)   SFC   CSRC   SEC   ERISA   Trading   Portfolio Management   Compliance   Audit   Legal