WAM-Investment Compliance-Sr Manager

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Senior Manager Compliance Analyst

Process Overview
Portfolio Compliance: Coding, Trade Surveillance, Alert Management.

AM Guidelines team supports portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. Coding 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 Role

• 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 along with rule Testing Standardization
• Counterparty and broker setups for trading Counterparty maintenance.
• 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.
• 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.
• Perform periodic reviews of account coding to ensure accuracy consistency.
• Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines
• Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed

Key Competencies Skills

• Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
• Expertise of 1940 Act, UCITS Regulations or ERISA will be added advantage
• Analytical Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills.
• One needs to understand financial instruments which are being traded by Portfolio Managers to code guidelines or to perform secondary research.
• Detail Orientation: Function is critical from an impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes.
• Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management
• Certifications: Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities Investment) are preferred, but certification is not a must for the role

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