Our client is a leading consulting firm. They are looking to engage with a Senior Mandate Compliance Officer.
As a member of the Investment Mandate Monitoring Team within the 1st line Business Risk, Controls & Assurance team, you will be responsible for covering both pre and post trade mandate monitoring, ensuring investment transactions and holdings are compliant with client guidelines and regulatory requirements. The ideal candidate will be part of the team that implements coding, monitoring and assurance of investment restrictions. The role also plays a critical role in identifying, escalating and guiding the remediation of failures to meet these obligations.
1. Excellent understanding of the investment management process across the full
range of asset classes and client types
2. Acting as senior contributor, lead the team and deliver on internal strategic
initiatives and process improvements
3. Experience to include rule coding and exception monitoring and resolution with
4. Investigating any escalated issues for clients which are more complex in nature
5. Presenting report / MI at Committees and Boards, as required
6. Strong relationships with clients and internal stakeholders
Note: This project is based out in Mumbai.
1. Strong domain expertise and leadership capabilities
2. Hand on experience of processes, products, tools and regulations
3. Prior experience in investment / Mandate / portfolio compliance monitoring
within Investment firms or other Advisory or Consulting Firms
4. Experience of using investment guideline monitoring systems for pre and post-
trade monitoring, escalation of investment guideline breaches and commenting
on guideline violation reasons within the compliance monitoring system.
5. Hand on usage of BlackRock Aladdin is a significant plus. Alternatively Charles
River, Latent Zero Sentinel or Thinkfolio
6. Knowledge of security classification data, experience using Bloomberg, Reuters
7. Strong understanding of financial instruments across asset classes, including
equity, fixed income, alternatives, multi-asset and derivative instruments
8. Understanding of UK and European regulatory frameworks that impact
investment guideline monitoring and UCITS/AIFM/NURS/COLL rules
9. Understanding of prospectus and IMA documentation