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Compliance Investment Information Specialist
3 weeks ago
We are seeking a skilled Compliance Investment Information Specialist to join our team.
- To be successful in this role, you will need to have a strong understanding of financial services and regulatory requirements.
The Compliance Investment Information Specialist will be responsible for interpreting guidelines and investment mandates to develop logic-based rules for effective monitoring. This includes implementing client requirements for prospectus and rule changes on our compliance platform, ensuring accuracy and timeliness. Additionally, the specialist will conduct thorough root-cause analysis of investment exceptions, including portfolio holdings, composition, historical transactions, and data verification for compliance.
- This will involve communicating with clients, fund managers, and upstream teams to resolve exceptions and prepare comprehensive manual reports.
Our ideal candidate will have a graduate or postgraduate degree with 8+ years' experience in financial services or stock broking, as well as extensive experience in post-trade compliance roles within investment banks, asset management, or brokerage firms.
Required Skills and Qualifications:- Proficiency in software applications and systems for compliance monitoring and reporting.
- Working knowledge of guideline coding on compliance systems like Charles River, Sentinel, and Aladdin.
- Strong knowledge of global regulatory requirements and complex financial products.
We offer a dynamic and supportive work environment, along with opportunities for professional growth and development. If you are passionate about compliance and have a keen eye for detail, we encourage you to apply for this exciting opportunity.
