BU Compliance - Senior Associate

Key Responsibilities

Compliance Rule Setup

Analyze client requirements, prospectuses, and investment mandates to extract compliance restrictions.Liaise with clients to obtain additional information required for rule interpretation and setup.Work closely with internal coding teams to translate compliance rules into system-based logic.

Compliance Monitoring & Reviews

Perform annual reviews of compliance matrices against updated prospectuses/SAIs.Support ad-hoc queries from compliance reporting teams to assess portfolio adherence to guidelines.Ensure accurate implementation and maintenance of rules for daily and monthly compliance monitoring.

Regulatory Interpretation & Advisory

Demonstrate strong domain knowledge in investment compliance.Interpret complex regulatory requirements and translate them into actionable compliance rules.Provide guidance on treatment of instruments (e.g., derivatives) for compliance tests.

Stakeholder Management & Coordination

Act as a key liaison between clients, counterparts, reporting teams, and business units.Collaborate with COEs, Client Service, and Operations teams for seamless delivery.

Risk Management & Process Improvement

Identify operational risks and recommend procedural improvements.Ensure adherence to SOPs while driving enhancements where required.Escalate potential compliance issues and ensure timely resolution.

Team & Oversight Responsibilities

Ensure timely completion of daily deliverables and ad-hoc requests.Participate in projects, onboarding initiatives, and process improvement forums.

Required Qualifications & Skills

Bachelor’s/master’s degree in finance, Accounting, or related field.2–4 years of experience in Investment Compliance / Asset Management.Strong knowledge of:Investment guidelines (UCITS, ’40 Act, RIA regulations)Compliance monitoring systems (e.g., Sentinel/CRD preferred)Financial instruments including derivativesProven experience in:Rule/Prospectus interpretationStrong analytical and problem-solving skills.Excellent communication and stakeholder management abilities.Proficiency in Excel; automation knowledge is an added advantage.

Key Competencies

Attention to detail and accuracyStrong ownership and accountabilityCollaboration and leadership mindsetProcess improvement and innovation orientation

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Job ID: R-797966