Sr Analyst- Compliance Surveillance

Invesco

  • Hyderabad, Telangana Andhra Pradesh
  • Permanent
  • Full-time
  • 1 month ago
Job Title:

Senior Compliance Analyst / Compliance Analyst

Job Code:

Department:

Compliance (9227HYD)

Location :

Hyderabad

Report To:

Associate Compliance Manager

FLSA (US Only):

Direct Reports:

None

Revised:

Job Purpose (Job Summary):

This role is part of Global Compliance Surveillance Function. Responsibilities would include Trade Surveillance and other Surveillance of daily transactions & positions of global Funds. Work closely with various regional Compliance teams in North America, EMEA and APAC Region.

Daily Key Responsibilities / Duties include:
  • Conduct investigations on irregularities & abnormal activities and report violations to relevant regional teams
  • Conduct review of Market Abuse alerts in surveillance tool on daily basis
  • Review Best execution activities, meetings logs, perform email and calls surveillance to identify any potential conflict of interest
  • Review of alert completion related to PM’s trading activities by researching and documenting detailed notes as to resolutions given in relevant systems
  • Monitor development in regulatory requirements and adjust surveillance models accordingly
  • Support in enhancement of existing system by coordinating with business partners
  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements
  • Assist with ongoing review of relevant processes and procedures to ensure best practice is followed
  • Interact with members of Regional Compliance Teams and other stakeholders to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
  • Assist in delivery of compliance related projects and initiatives including ad-hoc requirements.
  • Effectively review and resolve any potential compliance issues as they arise.
  • Help senior management in making process more effective and efficient
Working Timings:

Work timing will depend on the support provided to a particular region (APAC, EMEA & America). This could change from time to time as per business requirements.

Work Experience / Knowledge:

3 – 7 years of relevant work experience with investment advisor or mutual fund group in Compliance or regulatory environment.

Knowledge of and experience with Equity, Fixed Income and Balanced products required, including mutual funds, institutional and proprietary products. Familiarity with regulatory requirements regarding insider trading and market abuse in a key financial market like: US, UK, CE, HK, etc.

Skills / Other Personal Attributes Required:
  • Be able to understand and interpret graphical information
  • Experience on Trade surveillance platforms & tools
  • Understand trading principals and fundamentals
  • Good analytical skills including attention to detail
  • Good interpersonal skills to be able to work effectively with a network of colleagues spread across different time zones
  • Good written and verbal communication skills
  • Shall be a good team player
  • Shall be open to work flexible hours
  • Proficiency on MS Office suite of applications and at least one data visualization tool
  • Familiarity with trading systems and compliance components such as Charles River, Bloomberg or Aladdin would be given preference
Formal Education:

B. Com / M. Com / CA / MBA / Equivalent 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 Title:

Senior Compliance Analyst / Compliance Analyst

Job Code:

Department:

Compliance (9227HYD)

Location :

Hyderabad

Report To:

Associate Compliance Manager

FLSA (US Only):

Direct Reports:

None

Revised:

Job Purpose (Job Summary):

This role is part of Global Compliance Surveillance Function. Responsibilities would include Trade Surveillance and other Surveillance of daily transactions & positions of global Funds. Work closely with various regional Compliance teams in North America, EMEA and APAC Region.

Daily Key Responsibilities / Duties include:
  • Conduct investigations on irregularities & abnormal activities and report violations to relevant regional teams
  • Conduct review of Market Abuse alerts in surveillance tool on daily basis
  • Review Best execution activities, meetings logs, perform email and calls surveillance to identify any potential conflict of interest
  • Review of alert completion related to PM’s trading activities by researching and documenting detailed notes as to resolutions given in relevant systems
  • Monitor development in regulatory requirements and adjust surveillance models accordingly
  • Support in enhancement of existing system by coordinating with business partners
  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements
  • Assist with ongoing review of relevant processes and procedures to ensure best practice is followed
  • Interact with members of Regional Compliance Teams and other stakeholders to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
  • Assist in delivery of compliance related projects and initiatives including ad-hoc requirements.
  • Effectively review and resolve any potential compliance issues as they arise.
  • Help senior management in making process more effective and efficient
Working Timings:

Work timing will depend on the support provided to a particular region (APAC, EMEA & America). This could change from time to time as per business requirements.

Work Experience / Knowledge:

3 – 7 years of relevant work experience with investment advisor or mutual fund group in Compliance or regulatory environment.

Knowledge of and experience with Equity, Fixed Income and Balanced products required, including mutual funds, institutional and proprietary products. Familiarity with regulatory requirements regarding insider trading and market abuse in a key financial market like: US, UK, CE, HK, etc.

Skills / Other Personal Attributes Required:
  • Be able to understand and interpret graphical information
  • Experience on Trade surveillance platforms & tools
  • Understand trading principals and fundamentals
  • Good analytical skills including attention to detail
  • Good interpersonal skills to be able to work effectively with a network of colleagues spread across different time zones
  • Good written and verbal communication skills
  • Shall be a good team player
  • Shall be open to work flexible hours
  • Proficiency on MS Office suite of applications and at least one data visualization tool
  • Familiarity with trading systems and compliance components such as Charles River, Bloomberg or Aladdin would be given preference
Formal Education:

B. Com / M. Com / CA / MBA / Equivalent 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

Similar Jobs

  • Sr Analyst- Compliance Surveillance

    Invesco Asset Management (India) Private Limited

    • Hyderabad, Telangana
    • Secunderabad, Telangana
    Job Title: Senior Compliance Analyst / Compliance Analyst Job Code: Department: Compliance (9227HYD) Location : Hyderabad Report To: Associate Compliance Manager FLSA (US Only): Di…
    • 1 month ago
  • Sr Operations Analyst (Compliance Governance)

    Blue Yonder

    • Hyderabad, Telangana
    • Secunderabad, Telangana
    Blue Yonder Title: * Sr PD Operations Analyst Other Comparable titles: * Sr. Governance Compliance Advisor, Sr Software Engineer Overview: * Leading AI-driven Global Supply Chain S…
    • 1 month ago
  • Compliance Analyst-E-Comm Surveillance

    JPMorgan Chase

    • Hyderabad, Telangana
    Job Description: Description JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and operations worldwide. The Firm is a l…
    • 3 days ago