Job Description

Description

The person needs to work on guideline monitoring on compliance system for EMEA region

Key Responsibilities
Pre-trade monitoring to approve Orders/Trades getting the block on the system where applicable post the required validation. Also, Monitoring Investment compliance blocks at a post trade level daily within the deadline. This includes monitoring Firm, Regulatory & client guidelines. Below are the detailed particulars:

  • Pre-trade and Post-trade investment guideline exception investigation & resolution
  • Working closely with portfolio management and other partners to ensure portfolio compliance
  • Manual test execution
  • Identification of investment guideline coding issues
  • Investigating or troubleshooting potential errors when needed

    • Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible improvements to systems or processes

     Required Qualif...

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