Investment Compliance. @ Client Of Firm

Job Description

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines.

Key Responsibilities:

• Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions.
  
• Conduct pre-trade and post-trade compliance reviews using Charles River (CRIMS).
  
• Interpret investment mandates and extract rules to build and maintain compliance rule matrices.
  
• Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing.
  
• Lead and mentor a team of analysts, driving performance management, technical training, and process improvement.
  
• Collaborate with cross-functional teams for client onboarding, change management, and audit support.
  
• Conduct compliance testing, investigations, and root cause analysis on rule violations and trading exceptions.
  
• Analyze exception-based reports for AML, market manipulation, and short-term trading risks.
  
• Maintain and update restricted securities/watchlists, investment policies, and procedural documentation.
  
• Provide compliance reporting and metrics to senior management, regulators, and auditors

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Rs 0 - 50K PM Rs 50K - 1 LPA Rs 1.0 - 1.5 LPA Rs 1.5 - 2.0 LPA Rs 2.0 - 2.5 LPA Rs 2.5 - 3.0 LPA Rs 3.0 - 3.5 LPA Rs 3.5 - 4.0 LPA Rs 4.0 - 4.5 LPA Rs 4.5 - 5.0 LPA Rs 5 - 6 LPA Rs 6 - 7 LPA Rs 7 - 8 LPA Rs 8 - 9 LPA Rs 9 - 10 LPA Rs 10 - 12 LPA Rs 12 - 14 LPA Rs 14 - 16 LPA Rs 16 - 18 LPA Rs 18 - 20 LPA Rs 20 - 22 LPA Rs 22 - 24 LPA Rs 24 - 26 LPA Rs 26 - 28 LPA Rs 28 - 30 LPA Rs 30 - 32 LPA Rs 32 - 34 LPA Rs 34 - 36 LPA Rs 36 - 38 LPA Rs 38 - 40 LPA Rs 40 - 42 LPA Rs 42 - 44 LPA Rs 44 - 46 LPA Rs 46 - 48 LPA Rs 48 - 50 LPA Rs 50 - 75 LPA Rs 75 Lakh - 1C PA Rs 1 Crore+ PA

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Keyskills:   Charles River Investment Compliance Trade Compliance Compliance Monitoring CRD Compliance Global Compliance Asset Management Investment Management