This role provides assistance to the Global Investment Compliance function, supporting EMEA, US, CA, and APAC IC teams with adherence to regulations and fund-specific restrictions
Job Summary
This role provides assistance to the Global Investment Compliance function, supporting EMEA, US, CA, and APAC IC teams with adherence to regulations and fund-specific restrictions.
Key responsibilities include reviewing regulatory guidelines, coding rules on order management systems, performing transaction reviews, and addressing compliance alerts.
The position requires working primarily aligned to the Americas Region, with timings from 5:30 PM to 2:30 AM IST, subject to business needs and daylight saving changes.
Matching Summary
This role provides assistance to the Global Investment Compliance function, supporting EMEA, US, CA, and APAC IC teams with adherence to regulations and fund-specific restrictions.
Skills & Requirements
Must-have
Investment Compliance rule coding
Post-trade monitoring
Regulatory compliance (1940 Act, UCITS, FCA)
Charles River Development (CRD) experience
Equity/Fixed Income/ETF products knowledge
Nice-to-have
Global footprint exposure
Intelligent colleagues
Challenging work
Strong attention to detail
Good interpersonal skills
Key Requirements
3-5 years total work experience
2-3 years relevant rule coding experience
Experience with regulatory environments (SEC, 1940 Act, NI 81-102)
Proficiency in MS Office suite
Familiarity with trading systems (Charles River, Bloomberg AIM, LZ Sentinel, Aladdin)