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Tier-1 brand, metro location, and mid-level experience, but niche investment compliance skills limit applicant pool.
Role requires asset-management regulatory expertise and specific trading/compliance systems, limiting cross-industry transferability.
Explicit 2-4 years requirement plus mandatory regulatory knowledge and specific systems (ALADDIN, Charles River) increases filter rigidity.
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Monitor and ensure compliance with investment guidelines for client portfolios, addressing violations timely and coordinating with onshore teams.
Onboard new clients for investment compliance by interpreting mandates, coding, testing restrictions, and maintaining restricted securities lists.
Conduct periodic and transactional compliance testing across various asset classes and engage with global compliance teams for monitoring and reporting activities.
2 to 4 years of experience in investment compliance with an investment advisor or mutual fund group.
Knowledge of securities regulations including SEC, 1940 Act, Canadian NI 81-102, and experience with 40 Act Funds, Multi-Asset, Equity, Fixed Income, and ETF products.
Bachelor's or Master's degree in Commerce, Finance, MBA, CA, or related fields.
Willingness to work primarily night shift aligned to Americas region (5:30 pm to 2:30 am IST), with flexibility based on business needs.
Experienced in regulatory compliance for investment funds, specifically with knowledge of US and Canadian regulations and various asset classes.
Ability to independently manage compliance monitoring, rule coding, testing, and collaborate effectively with global teams.
Comfortable working in a night-shift role with flexible timing aligned to Americas market hours.