Investment Compliance Role - Coding & Monitoring - Investment Manual Guidelines Team

We are one of the leading recruitment firm looking to hire Professionals for Investment Compliance (Coding & Monitoring) for one of our client..

Location : Mumbai

Experience : 2-13 years

Following is the Job Synopsis :

IM Manual Guidelines team supports Fixed Income portfolio managers by performing manual tests for Institutional client accounts. Post trade checks performed at various frequencies (Daily, Semi-monthly, quarterly) as per test methodology as agreed with Risk & Front office, will ensure that portfolio investments made are in accordance with Client guidelines.

Key Competencies:

- Operations management - Volume processed by the team is pre-determined. There will be additional projects, back end clean up activities. Manager needs to understand work pattern and allocate tasks accordingly.

- Decision making - Tests being performed by the Manual guidelines team need to be in standard procedure with no ambiguity and any scope for interpretation. Determination needs to be done while transitioning the manual tests from Portfolio managers.

- Communication (Spoken - Assertiveness & Written) - Need to communicate with Front office (Portfolio managers) on need basis to ensure they understand client guideline breaches and act on correcting the trades. Portfolio breaches need to be explained with requisite details over the email.

- Talent management - To be effective, team will consist of skilled staff who will be domain experts. Manager would need to spend focused time towards ensuring staff is engaged and has challenging tasks to work on beyond routine work.