Posting â?? CC&L Financial Group Ltd.

to join our Portfolio Compliance Team at Connor, Clark & Lunn Financial Group in Gurugram, India. Compliance plays a critical role in the investment process and in this position, you will have the opportunity to work alongside our institutional portfolio managers and affiliate compliance officers. The role of compliance continues to evolve in complexity and importance. This is a fantastic opportunity to be part of a growing team whose scope and visibility continues to increase!


What You Will Do:

Key responsibilities include:

• Using Charles River to create and monitor pre-trade and post-trade compliance rules across all asset classes and security types. These compliance rules are derived from client mandates, global regulations, industry best practices, and firm wide guidelines.
• Using FundApps to monitor and report beneficial ownership, short selling, and takeover panel disclosures.
• Preparing compliance certificates and compliance reports either internally for managers or externally for clients and regulators.
• Working with various business groups within the company (portfolio management, operations, legal). You will be answering their compliance related questions and helping resolving issues.
• Maintaining and continuously improving portfolio compliance related procedures and controls.
• Taking a lead role in projects that vary in scope and size.
• Although this is not a people management role, you will be providing guidance, instruction, and direction to compliance analysts on the team.

• A Passion for Compliance You have five years or more experience in Asset Management performing a compliance related function.
• Risk Intelligent Mindset You have a solid understanding of portfolio compliance and its role within a broader risk management framework.
• A Passion for Operational Excellence You display a professional attitude where attention to detail, accuracy and timeliness are critical success factors in achieving your goals and objectives.
• Critical Thinking You possess an analytical mindset and like to solve problems.
• Curiosity You are inquisitive and are not afraid to ask questions.
• Collaborative Communication You communicate effectively and have a collaborative sprit that helps you to work well with others.
• Project Management You have strong project management skills.
• Organization - You are organized and can manage multiple tasks and interruptions.
• Technology Savvy You are able to pick up new systems and tools quickly. You have advanced computer skills with an emphasis on MS Excel. Charles River experience is an asset.