If you are enthusiastic about Investment Guidelines and Regulations, in a client facing role – check our new opportunity!
As an Investment Compliance Senior Associate within the Data Solutions team, you will be exposed to a wide range of financial products, including Equities, Fixed Income securities and Complex Assets. You will be responsible for interpreting guidelines, building investment rules, investigation of potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions. This is an exciting position for a client-focused and solution-driven individual who thrives on new challenges, possesses intellectual curiosity and entrepreneurial spirit, and enjoys working in a fast-paced yet flexible environment.
Job responsibilities
1. Understands client requirements on prospectus/rule changes and work with the client to leverage to functionality in the platform to solution their reporting/data requirements
2. Analyses root-cause of investment exceptions which includes analysis of portfolio holdings, composition, historical transactions & data to verify compliance
3. Interprets guidelines & investment mandates to build logic based rules for compliance monitoring
4. Participates in client calls for service reviews, Due Diligence Meetings and projects undertaken
5. Ensures all client queries are resolved with adheren...