Investment Compliance Analyst, Associate 2

Overview

Investment Compliance Analyst (Associate 2) providing end-to-end investment compliance support for mutual fund clients by translating prospectus/SAI investment guidelines and regulations into compliance rules and ongoing reporting.

What you'll do

• Onboard new investment compliance clients by interpreting prospectus/investment mandates and extracting compliance restrictions.
• Create and code a compliance rule matrix into a compliance system based on client requirements.
• Perform annual reviews of compliance rules by comparing matrices against updated prospectuses/SAIs.
• Research ad-hoc compliance queries to determine whether client portfolios align with investment guidelines.
• Liaise with coding teams to maintain rules in the system for accurate daily and monthly compliance reporting.
• Identify and analyze operations risks and recommend procedural changes as needed.

What you'll need

• Good knowledge of the U.S. Investment Company Act of 1940 or UCITS.
• Ability to analyze investment guidelines and policies to determine testing requirements.
• Strong communication and interpersonal skills.
• Strong organizational, time management, and analytical skills.
• Deadline and detail-oriented skills.
• Professional experience in financial services, securities sector, and capital markets.

Details

• Location: Bangalore, India.