Associate - Investment Compliance - Investment Bank

Summary :

- Portfolio Compliance Group (PCG) is a global group which sits within Pune office, one of the core functions within the Business Operations Group within team. PCG is responsible for implementing controls & processes, to ensure we are portfolio compliant aligned with all applicable regulatory and portfolio issued guidelines.

- This relates to trading and investments, including Aladdin pre-and post-trade compliance and non-Aladdin trading compliance; global syndicate offering review; ERISA & Fiduciary monitoring, and Global Thresholds reporting.

Key Responsibilities :

- Reviewing system reports of shareholdings against trade movements, and reporting holdings that have reached prescribed thresholds

- Prioritizing and submitting of necessary disclosures in an accurate and timely manner & maintaining clear records of all filings and communications

- Identifying holdings that are approaching prescribed threshold limits and engaging portfolio managers globally in order to allocate limited investment capacity, ensuring the best possible outcome for our clients

- Working with partners to improve processes and controls that build capacity and scale, and supporting automation

- Monitoring overall data collection status from various global functional teams

- Preparing monthly and quarterly Sub-Advised client certificates, in accordance with client guidelines and various SEC regulations

- Building and validating detailed daily, monthly, and quarterly cross trade reports

- Performing ad-hoc analysis for the Client Service Management team and sub-advised clients

- Maintaining procedures across all processes to ensure high-level quality control

- Communicating with regulators and internal legal counsel regarding complex, sensitive topics

Skills/Experience Required :

- Bachelor's degree or equivalent in a related field (preferred but not required)

- Post trade and Pre trade compliance / or either of them

- Experience using Aladdin (BlackRock's application) for portfolio compliance

- Experience in working with and building strong and positive relationships with both internal and external partners

- Strong control / risk mitigation mentality; ability to apply solid judgement as to when to raise issues.

- Proficiency in all Microsoft Office applications and strong IT skills, including experience with Visual Basic and SQL (preferable)

- Excellent written and verbal communication skills with the ability to convey complex concepts simply and clearly to target audience

- Work in a culture that is fast paced, high intensity environment, and hands-on engagement at all levels

- Build strong relationships with colleagues from Portfolio Management, Institutional Client Business, Legal & Compliance, and Investment Stewardship and works closely with Business Operations and Technology

- Learn about numerous global regulatory regimes and jurisdictions, and stay up to date on regulatory changes that may impact the team

- Tackle and solve complex problems in an ever-changing environment, with a target on process optimization, data & technology in a pragmatic approach

Ashu Rajpoot
09899109319