Specialist, Fraud Detection/Surveillance II

Specialist, Fraud Detection/Surveillance II

We’re seeking a future team member for the role of Specialist, Fraud Detection/Surveillance II to join our Trade Surveillance team. This role is located in Pune.

In this role, you’ll make an impact in the following ways:

• Monitor client portfolios to ensure compliance with investment guidelines and regulatory requirements.


• Perform post-trade compliance monitoring and reporting on a daily, monthly, and quarterly basis.


• Identify and investigate active and passive compliance breaches in collaboration with investment managers and relevant stakeholders.


• Support new client onboarding by interpreting investment mandates, coding portfolio restrictions, and generating exception reports.


• Maintain legal and compliance-approved restricted lists and ensure timely updates in line with internal policies and regulatory requirements.


• Review investment management documentation such as Investment Management Agreements, Prospectuses, and Statements of Additional Information (SAI) to support compliance rule interpretation and implementation.


• Code, test, and validate investment rules within compliance monitoring systems such as Aladdin, CRD etc.

To be successful in this role, we’re seeking the following:

• Experience in portfolio compliance monitoring within the investment management industry.


• Strong knowledge of investment regulations, including the Investment Advisers Act of 1940, Investment Company Act, UCITS, and MiFID.


• Understanding of multiple asset classes, including Fixed Income, Equities, Derivatives, Currencies, and Money Market Instruments.


• Hands-on experience with any compliance platforms such as BlackRock Aladdin, Charles River IMS (CRD), LatentZero Sentinel, or Bloomberg AIM.


• Ability to interpret client mandates and translate them into system-coded investment restrictions.


• Strong analytical and problem-solving skills, with excellent attention to detail.


• 4+ years of total work experience


• Bachelor’s degree in finance or the equivalent combination of education and experience is required. 


• CFA Level 1 or FRM are preferred.