Senior Associate - Investment Rule Operations

Asset & Wealth Management Operations - Investment Rule Team- Senior Associate - Bengaluru

YOUR IMPACT

Are you looking to apply your client service and analytical skills while deepening your understanding of asset management? Our Investment Guidelines team is seeking a professional who is looking to partner with our diversified Asset Management Portfolio Managers and global business counterparts to provide best in-class client experience to define solutions and lead change across the operational infrastructure.

The Analyst will be responsible is to safeguard the account onboarding process by controlling and effectively mitigating portfolio risk. The candidate will be working in interpretation, analysis of investment guideline restrictions and coding them in compliance monitoring applications. The candidate will also be exposed to regulatory requirements including Investment Company Act of 1940, UCITS, 2a-7, etc.

OUR IMPACT

The Investment Guidelines team sits within Investment Management operations which has primary responsibility of coding investment guidelines into compliance monitoring systems and providing pre-trade & post-trade oversight . Guidelines team supports portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. Coding involves setting up client & compliance regulations in systems to enable effective monitoring of guidelinesThese functions cover a wide range of clients and a complex product range, which include equities, fixed income, currency and derivatives. This involves extensive interaction with traders, portfolio managers and client relationship managers to ensure effective oversight for existing business and also to shape and implement monitoring related solutions for new clients, products, strategies, and system architecture.

BUSINESS UNIT OVERVIEW

Asset and Wealth Management Division  (AWM) is the investment management arm providing global investment opportunities to a substantial and diversified client base including institutions, governments and high net worth individuals. AMD has become one of the pre-eminent investment management organisations globally, with responsibility for over $3 trillion assets under management.

AWM Operations delivers asset management and wealth management capabilities to clients around the world. We are a multi-faceted group that partners with all areas of the Asset Management Division to support evolving markets and business requirements. Alongside that vital service delivery role, Asset Management Operations provides essential risk management and control. Within Asset Management Operations the guidelines management role will require an individual to join a team that performs coding, testing and post trade surveillance for client investment guidelines and regulatory guidelines within AWM. 

JOB SUMMARY AND RESPONSBILITIES

• Holistic ownership and understanding of client accounts, trade life-cycle and act as a single point of contact for AWM business for any guideline related issues. Types of accounts include separately managed accounts, mutual funds, sub-advised funds, pooled vehicles, hedge funds.
• Ability to understand and decipher Investment management Agreement, Prospectus, Statement of Additional Information (SAI), Investment Policies and other client restrictions.
• Coding client and regulatory rules on compliance platforms
• Liaison with Portfolio Managers  to ensure complete adherence to Investment Guidelines
• Partner with various operations team to improve data availability and overall quality of underlying data.
• Partner with monitoring team to reduces false breaches and manually monitored guidelines.
• Partner and liaise with client implementation team to qualify new business, implement account events, and ensure the adequacy of account surveillance.
• Providing effective thought leadership in navigating evolving financial regulatory landscape and helping to develop technological solutions to build appropriate architecture.

BASIC QUALIFICATIONS

• Bachelor’s degree required
• Associate/Senior associate level with around 4-6 years of professional experience in the financial services industry 
• Knowledge of operational aspects of trade management or guideline surveillance
• Be highly collaborative, team-oriented and strong consensus builder
• Demonstrate ability to partner across product groups, regions and functional responsibilities. 
• Possess strong communication and interpersonal skills both written and oral

PREFERRED QUALIFICATIONS

• Understanding of Equity, Fixed Income, Currencies and Derivatives 
• CFA (Chartered Financial Analyst) / FRM (Financial Risk Manager by GARP) / CISI (Chartered Institute for Securities & Investment) certifications will be a plus
• Comfortable escalating to Sales, Trading, Compliance, and Legal 
• Strong Microsoft Excel skills 
• Experience in coding guideline monitoring systems like Sentinel, Charles River will be an advantage
• Be a strategic thinker, possess strong facilitation and data gathering skills
• Effective problem solver, attention to detail and ability to work to tight deadlines under pressure
• Risk management focus
  

Experience Level

Mid Level