Investment Compliance

Role Purpose

The purpose of the role is to provide effective technical support to the process and actively resolve client issues directly or through timely escalation to meet process SLAs.

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Job Description:

Candidates will gain exposure to a wide range of industries and investment structures. As a result of the breadth of the experience, candidates will develop a unique understanding of companies, capital structures, and credit markets.

Responsibilities:

• Analyzing investment guidelines or indentures and interpreting them to build logic-based rules to implement into automated compliance monitoring system.
• Deliver daily/monthly/quarterly compliance reports to PM teams for the new violations across all investment policies.
• Support onshore teams by assisting them in post trade compliance monitoring activities across all the investment strategies.
• Assist in identifying the data governance and data reconciliation issues.

Qualifications:

• Bachelor’s degree with a preference to advanced degree or progression towards CFA/FRM/CAIA
• 1+ years of relevant experience in operations within banking, trustees or asset management firms with an exposure towards rule coding.
• Knowledge of guideline monitoring or coding in compliance systems e.g., Charles River, Bloomberg, LZ Sentinel, Aladdin, Clearwater Analytics or Solvas Solutions would be an added advantage.
• Good to have experience in querying database and analyzing large data sets

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### **Deliver excellent customer service through effective diagnosis and troubleshooting of client queries**

	- Provide product support and resolution to clients by performing a question diagnosis while guiding users through step-by-step solutions

	- Assist clients with navigating around product menus and facilitate better understanding of product features

	- Troubleshoot all client queries in a user-friendly, courteous and professional manner

	- Maintain logs and records of all customer queries as per the standard procedures and guidelines

	- Accurately process and record all incoming call and email using the designated tracking software

	- Offer alternative solutions to clients (where appropriate) with the objective of retaining customers’ and clients’ business

	- Organize ideas and effectively communicate oral messages appropriate to listeners and situations

	- Follow up and make scheduled call backs to customers to record feedback and ensure compliance to contract /SLAs

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### **Build capability to ensure operational excellence and maintain superior customer service levels of the existing account/client**

	- Undertake product trainings to stay current with product features, changes and updates

	- Enroll in product specific and any other trainings per client requirements/recommendations

	- Partner with team leaders to brainstorm and identify training themes and learning issues to better serve the client

	- Update job knowledge by participating in self learning opportunities and maintaining personal networks

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Deliver

		No
		Performance Parameter
		Measure

		1
		Process
		No. of cases resolved per day, compliance to process and quality standards, meeting process level SLAs, Pulse score, Customer feedback

		2
		Self- Management
		Productivity, efficiency, absenteeism, Training Hours, No of technical training completed