Job Description : Job Title :
Job Title : Compliance Administrator
Job Code : Department :
Investment Compliance (9227HYD)
Location : Report TO : Assistant Compliance Manager FLSA (US Only) :
Direct Reports : None
no of positions :
Job Purpose(Job Summary) :
Primaryrole would be to support Post Trade (Batch) Compliance and in accordance withrelevant regulations (like : UCITS Rules, US 1940 Act, FCA rules, COLL, MPF,etc.
and fund specific investment restrictions as contained in prospectus orinvestment management agreement. Work closely with various regional Complianceteams in EMEA Region.
KeyResponsibilities / Duties :
Address day to day compliance alerts / warnings in batch compliance related to trading strategies and the application of technology related or manual controls created and applied during this process
Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective teams (i.
e. Regional Compliance, Portfolio Manager, etc.) to ensure rectification
Prepare documentation to support reviews conducted and to substantiate / demonstrate adequate processes / controls to meet applicable regulatory requirements
Maintaining the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position
Assist in resolving queries from regional compliance team and Front Office on compliance matters
Assist with ongoing review of relevant processes and procedures to ensure best practice
Assist in preparation of Monthly Metrics report from OMS or any other similar tool for senior management
Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-
regulatory agency requirements.
Interact with members of regional compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
Assist in Compliance related projects and responsibilities
Workwith EMEA Region i.e. 11 : 30 am to 8 : 30pm IST however this could change based onbusiness requirement.
Work Experience / Knowledge :
Work experience of 1- 2.5 yearsrequired including relevant work experience with an investment advisoror mutual fund group in Compliance or regulatory environment.
Knowledge of and experience withEquity Products required, including UCITS Funds, Institutional, ETFs and U.S.Retail Mutual Funds.
Knowledge of securities regulation as it relates to operationswithin advisor compliance programs is required.
Experience with regulatoryenvironments such as UCITS, SFC, FCA, SEC, and ERISA would be an addedadvantage.
Skills / Other Personal AttributesRequired :
Good written and verbal communication skills
Good interpersonal and strong analytical skills
Strong attention to detail
Shall be a good team player
Shall be open to work flexible hours
Proficiency on MS Office suite of applications
Familiarity with trading systems and compliance components such as Charles River, Bloomberg or Aladdin would be given preference
Formal Education : (minimum requirement to perform job duties)
B. Com / M. Com / MBA / CA / CS / Degree inCommerce / Finance