01Responsibilities
- Perform manual checks and analyses of portfolio and benchmark holdings, review historical transactions etc. for restrictions which are not automated in Charles River, including research on other systems such as Bloomberg and MSCI.
- Post-Trade Analysis: Conduct timely and accurate compliance analysis of portfolio holdings, composition and historical transactions to verify compliance with applicable investment exposure and activity limitations stemming from regulatory requirements, client mandate, applicable policies, etc.
- Pre-Trade Analysis: Investment Compliance personnel liaise directly with traders and portfolio teams at the point of order entry to ensure compliance with applicable investment limitations / restrictions.
- Exceptions generated via the automated pre-trade compliance review (Charles River) are reviewed for further investigation, escalation, etc.
- Certifications for Sub-advised/Institutional Clients
- Assist in client/ board reporting preparation.
- Ensure documentation and procedures are maintained and kept up to date.
- Team administration tasks.
- Other tasks involving review, independent research and analysis.
- Assess current controls and processes, with the intent to optimize and improve efficiencies and reduce risk of errors.
Preferred candidate profile:
- MBA with Finance from premium business schools,
- Exceptional candidates who have completed their graduation from premium colleges with excellent academics can be considered.
- Work experience of 1-2 years is preferred.
- Experience with Financial Services/Asset Management Industry, Mutual fund, Stock broking (preferably in portfolio/investment compliance)
- Good in Microsoft Excel and handling different applications. (Knowledge of Macros or automation tools will be added advantage).
- Have good understanding of complex securities, ETFs, fixed income, equity/private equity, MUNIs and Derivative products. Possess excellent communication skills as the analyst needs to interact with Global counterparts/ Portfolio Managers / Traders daily.
- Exhibit knowledge of various aspects of financial markets especially with regards to asset classes, trading fundamentals etc. along with behavioral dexterity to manage skilled rapport while working with various teams/departments.
Pls note: CFA L1 cleared or CFA L2 cleared or FRM Level 1 cleared certification is mandatory.
Employment Type - Permanent role.
US Shift Timings: 4.30 PM to 1.30 AM or 5.30 PM to 2.30 AM.
Job Location: Hyderabad. .
