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Investment Compliance Analyst

Investment Compliance Analyst

Decimal Point AnalyticsMumbai, Maharashtra, India
4 days ago
Job description

We are seeking a detail-oriented and analytical Investment Compliance Analyst to join our team. The ideal candidate will have a strong understanding of investment instruments and the ability to interpret and apply investment guidelines effectively. This role requires hands-on experience in investment compliance functions, including coding and post-trade monitoring, using leading industry solutions.

Key Responsibilities

  • Investment Compliance Monitoring : Conduct coding and post-trade compliance checks to ensure adherence to investment guidelines and regulatory requirements.
  • Guideline Interpretation : Analyze, interpret, and implement investment guidelines for various instruments, ensuring alignment with client and regulatory standards.
  • Compliance Tools Management : Utilize platforms such as Sentinel, Aladdin, Bloomberg AIM, or Charles River Development (CRD) for compliance processes.
  • Reporting and Documentation : Prepare accurate compliance reports and maintain thorough documentation for audit and client purposes.
  • Collaboration : Work closely with portfolio managers, risk management teams, and other stakeholders to address compliance issues and ensure timely resolution.
  • Process Optimization : Continuously identify and implement improvements in compliance processes and procedures.

Key Competencies

  • Investment Instruments Knowledge : Strong understanding of equities, derivatives, and fixed-income instruments.
  • Analytical Skills : Ability to apply logical reasoning and interpret complex investment guidelines.
  • Technical Expertise : Proficiency with at least one compliance platform ( Sentinel, Aladdin, Bloomberg AIM, or CRD ).
  • Microsoft Office Proficiency : Strong working knowledge of Excel, Word, and other MS Office applications.
  • Communication Skills : Excellent written and verbal communication abilities to convey compliance matters effectively to diverse stakeholders.
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    Investment Analyst • Mumbai, Maharashtra, India