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Tier-1 brand, metro Bengaluru location, and mid-level compliance role create moderate applicant competition.
Requires deep fund compliance knowledge (SEC, prospectus, CRD), limiting cross-industry transferability.
Explicit 4+ years requirement and mandatory investment compliance experience raise shortlisting strictness to high.
Manage onboarding of new investment fund clients by interpreting prospectus and investment mandates to create compliance rule matrices.
Oversee annual reviews and maintenance of compliance rules ensuring adherence to SEC regulations and investment guidelines.
Collaborate with internal coding and client service teams to resolve compliance queries and ensure accurate reporting of compliance status.
Minimum 4+ years experience in Fund Administration or related investment compliance monitoring/coding roles (pre or post-trade).
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS.
University degree in Business, Accounting, Finance, or related financial program.
Experience with Alteryx workflow and knowledge of SQL.
Experienced compliance professional skilled at translating complex investment mandates into actionable compliance rules and engaging with technical teams.
Comfortable working in a financial services environment focused on asset management and regulatory compliance.
Capable of analyzing detailed regulations and investment policies to support risk mitigation and compliance reporting.