· Candidate needs to have good understanding of financial markets (US/UK), Asset management fundamentals, should be detail oriented and focused on executing with 100% accuracy. Ensure procedures are followed without fail and deviations or process gaps are identified proactively and escalated for resolution.
Description of functions
· Coding client and compliance regulations in for pre and post trade compliance testing
· Ensure investment of portfolios per client guidelines, internal policies & procedures and in compliance with all relevant regulatory requirements are updated on compliance platforms
· Analysis and Interpretation of investment guidelines related to equity, fixed income, mutual funds & hedge fund portfolios
· Partner with reference data management to improve data availability and overall quality of underline data
· Work on standardization of coding across geographies
· Perform periodic reviews of account coding to ensure accuracy and consistency
· Monitoring investment breaches and tracking down root causes to eliminate problem areas
· To liaison with Portfolio Managers & end clients ensuring complete adherence to Investment Guidelines
· Performing analytical review of investment guidelines provided by investors and institutions
· Ensure coding accuracy and communicate incase of any discrepancies
Functional work Scope will cover below responsibilities
· Post-trade violation investigation & resolution
· Account coding and Coding reviews
· New account on-boarding activities
· Identification of coding issues
· Process /system enhancements
· Maintenance of Legal & Compliance Restricted Lists
· Assistance with Client certifications / attestations
· Manual test execution
· Projects as required
KEY PERFORMANCE AREAS AND % TIME
· Accuracy : Perform Manual checks as per tests agreed with Risk & Front office
· Minimum qualifications Post graduate in Finance/Commerce
· Minimum experience 3+ years of Guidelines, 5+ year of In depth reference data
· Key competencies
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