Company Overview
A UK based Multinational providing investment solutions, services, and retirement expertise
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Job Description
• 5-8 years experience in Investment Compliance/Portfolio Compliance monitoring, ideally using Charles River systems (or similar compliance monitoring tools)
• To support in review, analyse and comment on investment guidelines
• Review and evaluate Investment Restrictions and recommend and implement such investment restrictions for compliance testing
• Take ownership of the account take-on process, ensuring that compliance monitoring systems are updated accurately and timely
• Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams
• Identify, track, resolve and report compliance breaches in-line with internal policy and regulatory requirements
• Job location : Gurgaon