Key Responsibilities

Compliance Rule Setup

• Analyze client requirements, prospectuses, and investment mandates to extract compliance restrictions.
• Liaise with clients to obtain additional information required for rule interpretation and setup.
• Work closely with internal coding teams to translate compliance rules into system-based logic.

Compliance Monitoring & Reviews

• Perform annual reviews of compliance matrices against updated prospectuses/SAIs.
• Support ad-hoc queries from compliance reporting teams to assess portfolio adherence to guidelines.
• Ensure accurate implementation and maintenance of rules for daily and monthly compliance monitoring.

Regulatory Interpretation & Advisory

• Demonstrate strong domain knowledge in investment compliance.
• Interpret complex regulatory requirements and translate them into actionable compliance rules.
• Provide guidance on treatment of instruments (e.g., derivatives) for compliance tests.

Stakeholder Management & Coordination

• Act as a key liaison between clients, counterparts, reporting teams, and business units.
• Collaborate with COEs, Client Service, and Operations teams for seamless delivery.

Risk Management & Process Improvement

• Identify operational risks and recommend procedural improvements.
• Ensure adherence to SOPs while driving enhancements where required.
• Escalate potential compliance issues and ensure timely resolution.

Team & Oversight Responsibilities

• Ensure timely completion of daily deliverables and ad-hoc requests.
• Participate in projects, onboarding initiatives, and process improvement forums.

Required Qualifications & Skills

• Bachelor’s/master’s degree in finance, Accounting, or related field.
• 2–4 years of experience in Investment Compliance / Asset Management.
• Strong knowledge of:
  • Investment guidelines (UCITS, ’40 Act, RIA regulations)
  • Compliance monitoring systems (e.g., Sentinel/CRD preferred)
  • Financial instruments including derivatives
• Proven experience in:
  • Rule/Prospectus interpretation
  • Strong analytical and problem-solving skills.
• Excellent communication and stakeholder management abilities.
• Proficiency in Excel; automation knowledge is an added advantage.

Key Competencies

• Attention to detail and accuracy
• Strong ownership and accountability
• Collaboration and leadership mindset
• Process improvement and innovation orientation