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Tier-1 brand and Bengaluru metro increase competition, but niche investment compliance skills limit broad applicant pool.
Strong requirement for mutual fund, SEC and prospectus expertise makes cross-industry moves difficult.
Mandatory 4+ years investment compliance experience plus specific Alteryx/SQL skills and domain knowledge enforces strict shortlisting.
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Own end-to-end onboarding and annual review of investment compliance rules by interpreting client requirements and fund prospectuses to create and maintain compliance rule matrices.
Coordinate with clients and internal coding teams to ensure compliance rules are accurately coded and daily/monthly compliance reporting is delivered on time.
Identify, analyze, and recommend improvements for operational risks and process gaps related to investment compliance, ensuring adherence to regulatory standards and internal procedures.
Minimum 4+ years of experience in Fund Administration or related roles with mandatory investment compliance monitoring or coding experience (pre or post-trade).
University degree in Business with specialization in Accounting, Finance, or other financial-related programs.
Strong knowledge of US Investment Companies Act of 1940 or UCITS and experience analyzing investment guidelines and policies.
Work Experience Required: Minimum 4+ years in relevant field. Certifications like FRM, CFA, or CISI preferred but not mandatory.
Experienced compliance professional with deep understanding of regulatory frameworks and investment mandates for mutual funds or similar investment vehicles.
Strong operational focus demonstrated by ownership of compliance rule creation, review, and system coding coordination to deliver accurate compliance reporting.
Analytical and detail-oriented individual with proficiency or strong understanding of Alteryx workflows and SQL, capable of handling ad-hoc compliance research and risk assessments.