Compliance Lead

The analyst needs to review the exceptions generated through the trade during the day in ALADDIN compliance dashboard.

Pre-trade monitoring to approve Orders/Trades getting the block on the system where applicable post the required validation. Also, Monitoring Investment compliance blocks at a post trade level daily within the deadline. This includes monitoring Firm, Regulatory client guidelines.

As part of post trade monitoring, the employee also needs to prepare various reports on a daily and weekly basis to monitor guidelines and make sure trades are complying.

Key Responsibilities
Pre-trade and Post-trade investment guideline exception investigation resolution
Working closely with portfolio management and other partners to ensure portfolio compliance
Manual test execution
Identification of investment guideline coding issues
Investigating or troubleshooting potential errors when needed
Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible improvements to systems or processes

Required Qualifications

Hands on experience on ALADDIN order management system.
5-7 years of relevant experience with bachelors degree.
Strong communication, interpersonal and time management skills.

About Our Company