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Asset Management - India Guidelines Operations Analyst

Req #: 180028674
Location: Mumbai, MH, IN
Job Category: Asset Management
Job Description:

JOB TITLE

·         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

·         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

·         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

  • Service Level agreement is monitored through work flow tool, frequency varies Daily, Weekly and Semi-monthly
  • There is no tolerance to errors – incorrect completion of task by Guidelines team will lead to Loss and/or Client impact.
  • Portfolio manager query emails must be reverted on the same day

MINIMUM REQUIREMENTS

·         Minimum qualifications Post graduate in Finance/Commerce

·         Minimum experience 3+ years of Guidelines, 5+ year of In depth reference data

·         Key competencies

  • Analytical & Interpretation skills – Client agreement language needs interpretation and Post trade compliance tests performed need data analysis skills. Team needs to perform secondary research to understand financial instruments which are being traded by Portfolio managers.
  • Detail Orientation – Function is critical from impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes
  • Communication (Spoken – Assertiveness & Written) – Need to communicate with Front office (Portfolio managers) on need basis to ensure they understand client guideline breaches and act on correcting the trades. Portfolio breaches need to be explained with requisite details over the email.

 

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