Posted By
Posted in
Banking & Finance
Job Code
1047122
Process Overview
Portfolio Compliance: Coding & Monitoring, Trade Surveillance, Alert Management - Role involves setting up client & compliance regulations in systems to enable effective monitoring of guidelines. Monitoring requires managing the alerts, breaches generated pre/ post trade as a result of trades/ non-trading actions and communicating effectively with various stakeholders.
Description of Functions
Coding
- Annotation/Interpretation of Investment management Agreement/Prospectus/ SAI / Delegate Sleeve Agreements
- Scheduling the Annotation meeting with Desk/IS/PDs to get their buy ins on Interpretation
- Coding client and regulatory rules on compliance platforms.
- Rule Testing & Standardization
- Counterparty and broker setups for trading
- Setting up strategy benchmark and client approved security List
- Leveraging Machine learning tools for standard rule setups
- Performing analytical review of Investment Guidelines provided by investors and institutions.
- Partner with various operations team to improve data availability and overall quality of underlying data.
- New account coding, reviews & revisions including on-boarding activities.
- Review new data analytics and update compliance platforms
- Understand and setup rules as per ratings agencies
- Identification of coding issues.
- Maintenance of Legal & Compliance approved & restricted lists.
- Counterparty maintenance.
- Work on Rule coding standardization across supported regions.
- Perform periodic reviews of account coding to ensure accuracy & consistency.
- Setting up trading brokers and counterparty Limits, exposure as per IMA
- Evaluate coding accuracy & communicate in case of any discrepancy.
- Partner with monitoring team to reduces false breaches and manually monitored guidelines.
- Periodic Governance with stakeholders
- Participate in local and global Projects
- Process/ system enhancements along with regression testing
Minimum Requirements
- 4-10 years (Manager) & 8 to15 years (AVP) of work experience of Portfolio Guidelines Coding/ Monitoring.
- Professional expertise with trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
- Professional level understanding of 1940 Act, UCITS Regulations or ERISA will be added advantage.
Technical Skill
- Portfolio Compliance Coding/ Monitoring
- Bloomberg
- Sentinel/ Charles River/ Aladdin (Compliance)/ SimCorp Dimension/ ThinkFolio
- Interpretation of Legal Language from Client Guidelines
- 1940 Act, UCITS Regulations
- MS Excel
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Posted By
Posted in
Banking & Finance
Job Code
1047122