Responsibilities:-

• 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.