Senior Compliance Analyst

Overview

Senior Compliance Analyst in the Center of Excellence for Investment Compliance in Hyderabad, supporting the Global Investment Compliance function with a focus on the EMEA region under UCITS, FCA, COLL and fund-specific investment restrictions.

What you'll do

• Independently address day-to-day compliance alerts and warnings in batch compliance related to trading strategies and the application of technology-based or manual controls.
• Perform daily reviews of portfolio transactions and monitor compliance investment restrictions applicable to holdings and transactions; investigate active and passive breaches and follow up with relevant teams to ensure timely resolution.
• Analyze complex compliance exceptions, document review rationale, and prepare supporting evidence that appropriate processes and controls meet applicable regulatory requirements.
• Maintain the Compliance Block facility, ensuring relevant systems are updated to accurately reflect the current block position.
• Independently resolve queries and compliance issues from Regional Compliance and other stakeholders, escalating material or complex matters where required.
• Review relevant processes and procedures, identify control gaps or inefficiencies, and support practical process improvements and standardization.
• Perform daily manual monitoring activities outside the OMS and complete required compliance list updates in the OMS.
• Collaborate with Regional Compliance teams to assess, document, monitor, report, develop, coordinate, and implement compliance monitoring activities, ongoing testing, and related controls.
• Support compliance-related projects, system changes, account onboarding, user acceptance testing (UAT), and other related responsibilities.
• Perform daily monitoring of overdrawn funds by comparing cash reports received from the Reconciliation team with CRD reports and notify relevant teams for timely resolution.
• Perform quality checks and provide guidance to analysts and new team members as required.

What you'll need

• Total work experience of 4-6 years required, including relevant work experience from the asset management industry, preferably with an investment advisor or mutual fund group in Compliance or a regulatory environment.
• Demonstrated experience independently handling investment compliance monitoring, complex breach analysis, rule coding or testing, and stakeholder queries.
• Strong knowledge of and experience with Equity/Fixed Income/ETF Products, including UCITS Funds, Institutional Products and 40 Act Funds.
• Knowledge of securities regulation as it relates to operations within advisor compliance programs.
• Experience with regulatory environments such as SEC, ERISA, CSSF and FCA.
• Applicable investment compliance skills: rule coding, rule testing, post trade monitoring and allied reporting.
• Academic requirement: B.Com / M.Com / MBA / CA / degree in Commerce/Finance.

Nice to have

• Experience in complex investment guideline interpretation and automated compliance monitoring.
• Working knowledge of control documentation, operational risk management and audit support.

Details

• Location: Hyderabad, Telangana.
• Full-time employee role.
• Standard working hours 12:30 PM to 9:30 PM IST, extendable to 10:30 PM IST based on business requirements; shift timings may change for Daylight Saving Time adjustments and operational needs, and employees must be prepared to work any shift as required.
• Workplace model: work in the designated office at least four days a week, with one day working outside an Invesco office.