If you are enthusiastic about Investment Guidelines and Regulations, in a client facing role – check our new opportunity!

As an Investment Compliance Senior Associate within the Data Solutions team, you will be exposed to a wide range of financial products, including Equities, Fixed Income securities and Complex Assets. You will be responsible for interpreting guidelines, building investment rules, investigation of potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions. This is an exciting position for a client-focused and solution-driven individual who thrives on new challenges, possesses intellectual curiosity and entrepreneurial spirit, and enjoys working in a fast-paced yet flexible environment. 

Job responsibilities 

Understands client requirements on prospectus/rule changes and work with the client to leverage to functionality in the platform to solution their reporting/data requirementsAnalyses root-cause of investment exceptions which includes analysis of portfolio holdings, composition, historical transactions & data to verify complianceInterprets guidelines & investment mandates to build logic based rules for compliance monitoring Participates in client calls for service reviews, Due Diligence Meetings and projects undertaken Ensures all client queries are resolved with adherence to timeliness and accuracy requirementsEnsures the closure of exceptions on the compliance platform through communication with the client/fund manager for true exceptions and upstream teams for data / coding gapsWorks with Global peers to define Best Practice and remediate any manual/bespoke processesMaintains a thorough understanding of industry, market and regulatory developments related to all regulatory reporting, engagement and disclosure requirements for asset owners and asset managersMaintains and updates standard regulatory rule sets and collaborate with the client to review changes in post trade monitoring rules Connects with Controls, Audit, and risk teams to review and analyse all process related controlsParticipates in new client onboarding process by providing market knowledge and functional expertise

Required qualifications, capabilities, and skills

Experience in post-trade compliance roles within Financial services industryWorking knowledge of guideline coding on compliance systems e.g : TRAC, Charles River, Sentinel, AladdinExcellent communication and interpersonal skills to build trusted relationship with clients, internal and external stakeholdersStrong knowledge of global regulatory requirements impacting post-trade activities e.g., UCITS, IRS, 1940 Act, Money market regs, etc.Ability to articulate complex issues in a clear and concise mannerCollaborative approach to problem solvingProven leadership skills with the ability to drive results in a fast-paced environmentHave an in-depth understanding of complex instruments, fixed income and equity productsExcellent written communication skills with proven client engagement expertiseHigh standard of accuracy and strong attention to detailExcellent organisation skills – ability to prioritize workloads and adhere to stringent timelines

Preferred qualifications, capabilities, and skills

Professional certification, including but not limited to CFA, FRM, 1940 Act, European regulationsExperience with automation tools (Alteryx, AI, ML, Python, etc.)