Assistant Manager - Portfolio Control & Monitoring
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Protocol Intelligence
Data-driven signals on your job's competitivenessTier-1 employer, Gurgaon metro location, and mid-level (5+ years) role increase applicant competition.
Highly specialized investment compliance and regulatory knowledge limits cross-industry transferability.
Mandatory 5+ years and specific investment compliance monitoring experience makes shortlisting highly strict.
Job Description
Structured overview of role & requirementsAbout This Role
Perform end-of-day portfolio compliance monitoring for global retail and institutional investment products, ensuring adherence to investment guidelines and regulatory requirements.
Investigate, classify, report, and resolve compliance breaches and post-trade violations, coordinating with Portfolio Managers and stakeholders.
Enhance compliance monitoring systems by reducing false positives, conducting manual compliance activities, and supporting process improvements and regulatory reviews.
Minimum Requirements
5+ years experience in investment management with investment compliance and guideline monitoring expertise.
Familiarity with regulatory environments such as UCITS, SICAV, MPF, or Investment Company Act of 1940 is preferred but not mandatory.
Strong knowledge of Equities, Fixed Income, and Derivatives instruments.
Not explicitly mentioned: mandatory degree or notice period; preferred qualifications include CFA, FRM, or Bachelor of Business/Commerce.
Ideal Candidate Profile
Experienced in detailed portfolio monitoring with strong analytical skills to perform root-cause analysis of compliance breaches.
Comfortable coordinating cross-functionally with investment professionals, legal, and client service teams globally.
Capable of managing compliance systems enhancements and process improvements with attention to detail and adherence to tight deadlines.