Compliance Lead IND

Description

The person needs to work on guideline monitoring on compliance system for EMEA region

Key Responsibilities
Pre-trade monitoring to approve Orders/Trades getting the block on the system where applicable post the required validation. Also, Monitoring Investment compliance blocks at a post trade level daily within the deadline. This includes monitoring Firm, Regulatory & client guidelines. Below are the detailed particulars:

Pre-trade and Post-trade investment guideline exception investigation & resolution

Working closely with portfolio management and other partners to ensure portfolio compliance

Manual test execution

Identification of investment guideline coding issues

Investigating or troubleshooting potential errors when needed

Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible improvements to systems or processes

 Required Qualif...