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Decimal Point Analytics - Investment Compliance Analyst (3-6 yrs)

3-6 years

Decimal Point Analytics - Investment Compliance Analyst (3-6 yrs)

Decimal Point Analytics

posted 1mon ago

Job Role Insights

Flexible timing

Job Description

Job Title: Investment Compliance Analyst

Department: Investment Compliance

Experience: 3 years

Job Summary:

We are seeking a detail-oriented and analytical Investment Compliance Analyst to join our team.

The ideal candidate will have a strong understanding of investment instruments and the ability to interpret and apply investment guidelines effectively.

This role requires hands-on experience in investment compliance functions, including coding and post-trade monitoring, using leading industry solutions.

Key Responsibilities:

- Investment Compliance Monitoring: Conduct coding and post-trade compliance checks to ensure adherence to investment guidelines and regulatory requirements.

- Guideline Interpretation: Analyze, interpret, and implement investment guidelines for various instruments, ensuring alignment with client and regulatory standards.

- Compliance Tools Management: Utilize platforms like Sentinel, Aladdin, Bloomberg AIM, or Charles River Development (CRD) for compliance processes.

- Reporting and Documentation: Prepare accurate compliance reports and maintain thorough documentation for audit and client purposes.

- Collaboration: Work closely with portfolio managers, risk management teams, and other stakeholders to address compliance issues and ensure timely resolution.

- Process Optimization: Continuously identify and implement improvements in compliance processes and procedures.

Key Competencies:

- Investment Instruments Knowledge: Sound understanding of equities, derivatives, and fixed-income instruments.

- Analytical Skills: Strong logical reasoning and interpretation abilities to comprehend and apply complex investment guidelines.

- Technical Expertise: Proficiency with at least one of the following platforms: Sentinel, Aladdin, Bloomberg AIM, or CRD.

- Microsoft Office: Strong working knowledge of Microsoft Office applications, especially Excel and Word.

- Communication Skills: Exceptional written and verbal communication skills to effectively convey compliance matters to diverse stakeholders.

Qualifications:

- Bachelor's/Master's degree in Finance, Economics, or a related field.

- 3 years of proven experience in investment compliance functions.

- Industry certifications (e.g , CFA, CIPM) are a plus but not mandatory


Functional Areas: Other

Read full job description

Decimal Point Analytics Interview Questions & Tips

Prepare for Decimal Point Analytics roles with real interview advice

Top Decimal Point Analytics Investment Compliance Analyst Interview Questions

Q1. What is the Mutual fund, depreciation, RBI, GDP & how we do calculate
Q2. what is Derivatives? Types of mutual fund, Ratios etc.
Q3. What is mutual fund and it's types Stock split, ex- dividend & bonus shares Market cap of the company with example. Future and options s ... read more
View all 27 questions

What people at Decimal Point Analytics are saying

What Decimal Point Analytics employees are saying about work life

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Flexible timing
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Decimal Point Analytics Benefits

Work From Home
Job Training
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