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Tier-1 employer in metro Bangalore but niche compliance skills limit applicant pool.
Highly specialized investment compliance skills limit cross-industry transferability.
Explicit 4+ years, mandatory investment compliance experience, SEC knowledge, Alteryx and SQL make filters strict.
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Own onboarding of new investment compliance clients by interpreting prospectuses/investment mandates and creating compliance rule matrices.
Maintain and review compliance rules annually, ensuring accurate coding and reporting aligned with SEC regulations and client guidelines.
Identify operational risks and ensure timely resolution of compliance issues, liaising between clients, coding teams, and internal stakeholders.
4+ years overall experience in Fund Administration or related investment compliance work, including pre or post-trade investment compliance monitoring or coding.
University degree in Business (Accounting, Finance, or related financial field).
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS and investment compliance monitoring.
Proficiency in Alteryx workflow design and refinement; strong analytical skills and experience with SQL; certification (FRM, CFA, CISI) preferred but not mandatory.
Experienced in investment compliance with hands-on understanding of client mandates and ability to translate these into actionable compliance rules.
Comfortable working closely with multiple internal teams and clients to ensure compliance accuracy and operational risk mitigation.
Skilled in using data analytics tools such as Alteryx and SQL to support compliance rule coding and reporting processes.