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Tier-1 brand, metro location, and mid-level role increase competition despite niche compliance skill requirements.
Role requires investment fund regulatory expertise, making cross-industry transferability low.
Explicit 2-4 years plus specific regulatory and systems experience makes shortlisting highly selective.
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Monitor investment guidelines and ensure timely addressing of active and passive violations through coordination with onshore teams.
Analyze investment restrictions and compliance with mandates including asset allocation, issuer concentration, industry/sector limits, and regulatory requirements.
Onboard new clients by interpreting investment mandates, coding and testing restrictions, performing compliance testing, and maintaining restricted securities lists.
2 to 4 years of work experience in investment compliance within investment advisory or mutual fund sectors.
Knowledge of regulatory frameworks such as SEC, 1940 Act, NI 81-102 and experience with capital markets, financial products including Equity, Fixed Income, ETFs, Multi-Asset Funds.
Bachelor's or Master's degree in Commerce, Finance, MBA, or CA.
Willingness to work flexible hours primarily aligned with Americas timezone (5:30 pm to 2:30 am IST).
Experience working with global or regional compliance teams supporting multiple regulatory jurisdictions including Americas and Canada.
Proficient in compliance tools and trading systems such as ALADDIN, Charles River, Bloomberg AIM, and LZ Sentinel.
Strong analytical skills with the ability to interpret complex investment mandates and implement compliance monitoring activities.