Job Description

  • Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix.
  • Liaise with clients to obtain additional information that may be necessary from time to time to code compliance matrix into the compliance system.
  • Perform annual review of compliance rules in the matrix by comparing them against updated prospectuses/SAIs.
  • Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines
  • Liaise with coding team for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients.
  • Demonstrate in-depth knowledge of Investment compliance to translate client requirements into actionable items for internal teams and work with internal teams.
  • Identifies and analyzes operations...

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