Investment Compliance- Senior Associate

Overview

Investment Compliance Senior Associate role providing end-to-end support to mutual fund clients and their compliance teams.

What you'll do

• Onboard new investment compliance clients by interpreting prospectus/mandate and extracting compliance restrictions.
• Create and maintain a compliance rule matrix and code it into the compliance system.
• Perform annual reviews of compliance rules by comparing against updated prospectuses/SAIs.
• Research ad-hoc guidance requests to assess whether client portfolios align with investment guidelines.
• Liaise with internal coding teams to support accurate daily and monthly compliance reporting.
• Identify and analyze operations risks and recommend procedural changes; ensure timely issue resolution and escalation per policy.

What you'll need

• 4+ years overall experience in Fund Administration or related work.
• Investment compliance monitoring or coding experience is required (pre or post-trade).
• Good knowledge of U.S. Investment Companies Act of 1940 or UCITS.
• Ability to analyze investment guidelines/policies to determine testing requirements.
• Sstrong understanding of Alteryx workflow (designing and refinement).
• Knowledge of strong SQL.
• University degree majoring in Accounting, Finance, or other financial-related programs.

Details

• Location: Bangalore, India.