Associate/Senior Associate

JOB DESCRIPTION

Education/ Experience and Skill Requirement MBA – Finance / CFA, Law, or Compliance related qualification

Capital Markets knowledge/NCFM certifications, preferred

3 6 years of experience in BFSI

At least 2 years of experience in investment compliance

Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc.

Sound interpretational & logical reasoning skills to comprehend investment guidelines

Strong Microsoft Office knowledge is required

Experience in Investment Compliance functions including coding and post-trade monitoring is mandatory.

Experience in one of the following solution providers is required: Sentinel, Aladdin, Bloomberg AIM, Geneva

Team working Proficient

Client Centricity Proficient

Entrepreneurial Proficient

Communication Proficient

Clarity of Thought Proficient

Self-awareness Proficient

Responsibilities New account on-boarding activities

Guideline reviews and account coding

Identify gaps in existing coding and suggest enhancements

Perform daily review of post trade incidents and perform thorough investigations to identify root cause of the failure

Liaison with portfolio managers, client relationship managers and ensure portfolio is adhering to all guidelines

Handle queries of junior team members and help them learn the process

Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team

Work on list updates which includes firm wide restricted list updates as well as client specific lists
Client certifications and attestations