Team Lead/AM - Investment Compliance

Hiring for Investment Compliance Team Lead/AM based in Hyderabad

Work with various Compliance teams in UK, US, Canada and Hong Kong. Provide assistance with compliance monitoring via Charles River and other applicable projects/assignments.

- Provide support to Pre and Post trade compliance monitoring on CRD

- Research alert/warnings using various applications and prepare detailed working/calculation against various breaches

- Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied during this process by Equity Compliance team.

- Assist in reviews of investment guidelines to maintain evergreen compliance environment; write, test, implement, monitor, maintain and enhance required quantitative rules in the production trading platform i.e. CRD.

- Conduct forensic, periodic, and transactional testing to ensure compliance with all applicable state, federal and self-regulatory agency requirements.

- Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes / controls to meet regulatory requirements and ensure compliance with all policies and procedures.

- Interact with members of overseas compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.

- Slicing and dicing of Data including comparison between various systems

- Strong knowledge of and experience with Equity Products required, including U.S. Retail Mutual Funds, UCITS Funds, Institutional and Proprietary Products. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.

Working Timings :

Working timing will be 3.30 pm to 12.30 am IST however this could change from time to time as per process requirements.