Manager - Portfolio Compliance

The Portfolio Compliance is a global group functions within the Business Operations Group at our company. Portfolio Compliance is responsible for implementing controls & processes, to ensure we are portfolio compliant with all applicable regulatory and portfolio issued guidelines. This relates to trading and investments, including core Aladdin pre- and post-trade compliance and non-Aladdin trading compliance; mutual fund monitoring and reporting; global syndicate offering review; ERISA & Fiduciary monitoring, and Global Thresholds reporting.

The Portfolio Compliance Group in Gurgaon is primarily responsible for extracting, analyzing, coding and monitoring client, regulatory and internal investment guidelines on the firm’s Aladdin system for EMEA based clients and funds. The group is engaged with and provides services to many other departments across the firm, in particular: Portfolio On-Boarding, Portfolio Management, Trading, Global Client Group, Operations and Legal & Compliance.

Responsibility:

Roles and Responsibilities:

- The specific role, based in Gurgaon will be primarily focused on Core activities for the EMEA/APAC Region.

Key Responsibilities:

- Post-trade violation investigation & resolution

- Account coding and coding reviews

- New account on-boarding activities

- Manual test execution

- Identification of coding issues

- Documentation of procedures

- Process /system enhancements

- Maintenance of Legal & Compliance Restricted Lists

- Client certifications / attestations

- Projects as required

Development Value:

- Exposure to multiple business groups and investment products across company globally

- Daily interaction across with business groups including Portfolio Management, Trading and Legal and Compliance

- Opportunity to be a service champion for one of the core PCG internal clients

- Exposure to global regulatory regimes and jurisdictions

- Opportunity to be part of and develop within a truly global international group and firm

- Opportunity to take responsibility and ownership for projects

Skills/ Qualification:

Qualifications: Knowledge and Experience:

- Experience of working in the investment management industry and of investment products preferred.

- Experience of coding of client portfolio in SQL preferred.

- Ability to manage stress and work in a highly challenging environment.

- Have maturity and positive attitude.

- Strong multi tasking skills.

Knowledge/ Experience:

Skills and Qualifications:

- Strong Microsoft Office knowledge.

- MBA Finance or CFA

- Capital markets knowledge or NCFM certifications preferred.

Competencies:

- Strong communication skills.

- Ability to self manage workloads and work to deadlines.

- Strong team player

- Analytical mind and approach

- Attention to details

- Pro active approach to issue resolution.

- Ability to facilitate compromise between conflicting requirements or points of views.

- Ability to recognize individual and team objectives and goals