Compliance Analyst

Invesco

  • Hyderabad, Telangana Andhra Pradesh
  • Permanent
  • Full-time
  • 29 days ago
Job Description

Job Title:

Compliance Analyst

Job Code:

Department:

Investment Compliance (9227HYD)

Location :

Hyderabad

Report TO :

TBD

FLSA (US Only) :

Direct Reports:

None

no of positions:

1

Job Purpose (Job Summary):

Primary role would be to support Post Trade (Batch) Compliance and Rule Coding & Testing in accordance with relevant regulations (like: US 1940 Act, UCITS Rules, FCA rules, COLL, etc.) and fund specific investment restrictions as contained in prospectus or investment management agreement. Work closely with various regional Compliance teams in North America Region.

Key Responsibilities / Duties:
  • Address day to day compliance alerts/warnings in batch compliance related to trading strategies and the application of technology related or manual controls created and applied during this process
  • Facilitate rule coding for various funds on Order Management System (OMS).
  • Work with Service Provider for any new development required on OMS with respect to rule coding, as required.
  • Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective teams (i.e. Regional Compliance, Portfolio Manager, etc.) to ensure rectification
  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements
  • Work with IT team / Business Analyst for any new development required on OMS with respect to rule coding and monitoring.
  • Develop VBA Macros wherever required to optimize manual processes
  • Attend and contribute in select meetings/committees as a representative of Investment Compliance
  • Maintaining the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position
  • Assist in resolving queries from regional compliance team and Front Office on compliance matters
  • Assist with ongoing review of relevant processes and procedures to ensure best practice
  • Prepare Monthly Metrics report from OMS or any other similar tool for senior management
  • Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
  • Interact with members of regional compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
  • Assist in Compliance related projects and responsibilities.
  • Assist the legal and compliance staff as requested.
  • Effectively find solutions to compliance issues as they arise.
Working Timings:

Work with US Region i.e. 4.30pm to 1.30am IST however this could change based on business requirement.

Work Experience / Knowledge:

Work experience of 2- 4 years required including relevant work experience with an investment advisor or mutual fund group in Compliance or regulatory environment.

Knowledge of and experience with Equity Products required, including U.S. Retail Mutual Funds, UCITS Funds, Institutional and ETFs. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.

Experience with regulatory environments such as SFC, FCA, SEC, UCITS and ERISA would be an added advantage.

Skills / Other Personal Attributes Required:
  • Good written and verbal communication skills
  • Good interpersonal and strong analytical skills
  • Strong attention to detail
  • Shall be a good team player
  • Shall be open to work flexible hours
  • Proficiency on MS Office suite of applications
  • Familiarity with trading systems and compliance components such as Charles River, Bloomberg or Aladdin would be given preference
Formal Education: (minimum requirement to perform job duties)

B. Com / M. Com / MBA /CA /CS / Degree in Commerce/Finance

Disclaimer: The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. Incumbents may be required to perform other duties as deemed appropriate by the supervisor from time to time.

Job Description

Job Title:

Compliance Analyst

Job Code:

Department:

Investment Compliance (9227HYD)

Location :

Hyderabad

Report TO :

TBD

FLSA (US Only) :

Direct Reports:

None

no of positions:

1

Job Purpose (Job Summary):

Primary role would be to support Post Trade (Batch) Compliance and Rule Coding & Testing in accordance with relevant regulations (like: US 1940 Act, UCITS Rules, FCA rules, COLL, etc.) and fund specific investment restrictions as contained in prospectus or investment management agreement. Work closely with various regional Compliance teams in North America Region.

Key Responsibilities / Duties:
  • Address day to day compliance alerts/warnings in batch compliance related to trading strategies and the application of technology related or manual controls created and applied during this process
  • Facilitate rule coding for various funds on Order Management System (OMS).
  • Work with Service Provider for any new development required on OMS with respect to rule coding, as required.
  • Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective teams (i.e. Regional Compliance, Portfolio Manager, etc.) to ensure rectification
  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements
  • Work with IT team / Business Analyst for any new development required on OMS with respect to rule coding and monitoring.
  • Develop VBA Macros wherever required to optimize manual processes
  • Attend and contribute in select meetings/committees as a representative of Investment Compliance
  • Maintaining the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position
  • Assist in resolving queries from regional compliance team and Front Office on compliance matters
  • Assist with ongoing review of relevant processes and procedures to ensure best practice
  • Prepare Monthly Metrics report from OMS or any other similar tool for senior management
  • Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
  • Interact with members of regional compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
  • Assist in Compliance related projects and responsibilities.
  • Assist the legal and compliance staff as requested.
  • Effectively find solutions to compliance issues as they arise.
Working Timings:

Work with US Region i.e. 4.30pm to 1.30am IST however this could change based on business requirement.

Work Experience / Knowledge:

Work experience of 2- 4 years required including relevant work experience with an investment advisor or mutual fund group in Compliance or regulatory environment.

Knowledge of and experience with Equity Products required, including U.S. Retail Mutual Funds, UCITS Funds, Institutional and ETFs. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.

Experience with regulatory environments such as SFC, FCA, SEC, UCITS and ERISA would be an added advantage.

Skills / Other Personal Attributes Required:
  • Good written and verbal communication skills
  • Good interpersonal and strong analytical skills
  • Strong attention to detail
  • Shall be a good team player
  • Shall be open to work flexible hours
  • Proficiency on MS Office suite of applications
  • Familiarity with trading systems and compliance components such as Charles River, Bloomberg or Aladdin would be given preference
Formal Education: (minimum requirement to perform job duties)

B. Com / M. Com / MBA /CA /CS / Degree in Commerce/Finance

Disclaimer: The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. Incumbents may be required to perform other duties as deemed appropriate by the supervisor from time to time.

Invesco

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