Investment Compliance- Manager

Overview

Investment Compliance Manager responsible for end-to-end support for investment company (Mutual Fund) client onboarding, compliance rule setup, and ongoing compliance monitoring.

What you'll do

• Onboard new investment compliance clients by interpreting prospectus/investment mandates and extracting compliance restrictions into a rule matrix.
• Liaise with clients to obtain additional information needed to code the compliance matrix into the compliance system.
• Perform annual reviews of compliance rules by comparing against updated prospectuses/SAIs.
• Research ad-hoc compliance queries to assess whether client portfolios align with investment guidelines.
• Coordinate with coding teams to maintain rules in the system for accurate daily and monthly compliance reporting to clients.
• Manage the Investment Compliance team, ensuring timetabled deadlines and ad-hoc queries are completed on time.
• Identify unusual or potentially suspicious transaction activity and report/escalate per corporate policy and operating procedures.

What you'll need

• Overall experience of 9+ years in Fund Administration or related work.
• Investment compliance monitoring or coding experience is required (pre or post-trade).
• Good knowledge of the U.S. Investment Companies Act of 1940 or UCITS.
• Ability to analyze investment guidelines and policies to determine testing requirements.
• Advanced MS Excel proficiency and demonstrated computer capability.
• University degree in Accounting, Finance, or another Financial-related program.

Details

• Location: Bangalore, India.