Investment Compliance Analyst, Associate 2

Overview

Provide end-to-end investment compliance support to mutual fund clients by interpreting regulatory requirements and investment guidelines. Translate client requirements into compliance rules, support reporting, and resolve operational issues.

What you'll do

• Onboard clients by interpreting prospectuses, SAIs, and investment mandates.
• Extract compliance restrictions and create compliance rule matrices.
• Research queries to assess portfolios against investment guidelines.
• Coordinate with coding teams to maintain compliance rules and reporting.
• Review compliance rules annually against updated client documents.
• Identify operational risks and recommend procedural changes.
• Resolve issues promptly and escalate unusual or suspicious activity.

What you'll need

• Professional experience in financial services, securities, or capital markets.
• Knowledge of the U.S. Investment Company Act of 1940 or UCITS.
• Ability to analyze investment guidelines and determine testing requirements.
• Strong communication and interpersonal skills.
• Strong organizational, planning, time management, and analytical skills.
• Attention to deadlines and detail.

Details

• Location: Bangalore, India.