Associate/Senior Associate, Conflicts Management and Trade Surveillance Compliance

Job Description

Key Responsibilities / Duties:

Perform process reviews and quality checks of all Investment Compliance activities Perform analytical reviews of various compliance related documents, reports, activities and data sets Monitor and follow-up to ensure timely and effective completion of various compliance requirements e.g. Fails reporting, Deal Overlaps, Workspace monitoring, Revised trades, periodic submissions of various reports, etc. Facilitate team meetings, share regulatory updates, procedure updates, etc. Review all changes related to relevant policies, procedures, process-flows, datasets, records, technology tools (i.e. Share Point, Excel) Full support to Investment Compliance team to enable them to comply with various internal and external compliance requirements e.g. Large trade reporting, Weekly IPO checks, Creation of Legal cards, Trade cash alert, etc. Manage work allocation within the team Support and initiate special projects and ad hoc tasks as required Partner effectively with Global Investment Compliance team and other business functions as required Escalate issues effectively and on a timely basis to the appropriate levels of management Maintain, track and report key performance indicators/metrics for Investment Compliance and Key stake holders as assigned Review all tasks including the Weekly/Bi-Weekly/Monthly/Quarterly reports prior to sharing with the Global Investment Compliance Train new hires in all processes with additional focus on cross training team members and creating adequate backups Assist in the processing of employees’ personal trade requests in accordance with the Firm’s policy and standard operating procedure Assist in Investment Compliance related projects and initiatives Preparation of metrics, trends and patterns on using the various data sets available

Working Timings:

Working timing will be 10 am to 7 pm IST however this might be subjected to change as per requirements.

Work Experience / Knowledge:

• Relevant exp. of 3-5 years for Associate and 6-10 years for Sr. Associate of related work experience demonstrating the skills identified; preferably in Investment Compliance and regulatory environment. Knowledge of financial products will be added advantage.

Required skill sets:

• Good written and verbal communication skills
• Problem solving and Innovation
• Interpersonal skills necessary to effectively communicate over the phone with a variety of individuals at all levels are required
• Strong analytical skills and attention to detail
• Flexible and adaptable attitude with a strong emphasis on compliance with rules and regulations
• Team player
• Open to work flexible hours
• Proficiency on MS Office suite of application, including but not limited to the ability to manipulate data to create detailed reports such as using lookup functions and pivot tables in Excel.
• Familiarity with trading systems and compliance components such as Black Mountain Everest, Advent Geneva, Salesforce and Bloomberg would be an added advantage

Formal Education:

• MBA or Degree in Commerce/ Finance

Reporting Relationships

There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.