Search Jobs

Investment Banking Female-cpa/frm/cfa (should have any) in Goregaon.

Apply without registration
Not Disclosed by Recruiter Posted 47 days ago Job Applicants: 619 Job Views: 1500+

Job Description

Send me Jobs like this

    Candidate needs to have good understanding of financial markets (US/UK), Asset management fundamentals, should be detail oriented and focused on executing with 100% accuracy. Ensure procedures are followed without fail and deviations or process gaps are identified proactively and escalated for resolution.

    Description of functions


    Coding client and compliance regulations in for pre and post trade compliance testing

    Ensure investment of portfolios per client guidelines, internal policies & procedures and in compliance with all relevant regulatory requirements are updated on compliance platforms

    Analysis and Interpretation of investment guidelines related to equity, fixed income, mutual funds & hedge fund portfolios

    Partner with reference data management to improve data availability and overall quality of underline data

    Work on standardization of coding across geographies

    Perform periodic reviews of account coding to ensure accuracy and consistency

    Functional work Scope will cover below responsibilities

    Post-trade violation investigation & resolution

    Account coding and coding reviews

    New account on-boarding activities

    Identification of coding issues

    Process /system enhancements

    Maintenance of Legal & Compliance Restricted Lists

    Assistance with Client certifications / attestations

    Manual test execution

    Projects as required


    Accuracy : Perform Manual checks as per tests agreed with Risk & Front office

    Service Level agreement is monitored through work flow tool, frequency varies Daily, Weekly and Semi-monthly
    There is no tolerance to errors incorrect completion of task by Guidelines team will lead to Loss and/or Client impact.
    Portfolio manager query emails must be reverted on the same day


    Minimum qualifications Post graduate in Finance/Commerce

    Minimum experience 3+ years of Guidelines, 5+ year of In depth reference data

    Key competencies

    Analytical & Interpretation skills Client agreement language needs interpretation and Post trade compliance tests performed need data analysis skills. Team needs to perform secondary research to understand financial instruments which are being traded by Portfolio managers.
    Detail Orientation Function is critical from impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes
    Communication (Spoken Assertiveness & Written) Need to communicate with Front office (Portfolio managers) on need basis to ensure they understand client guideline breaches and act on correcting the trades. Portfolio breaches need to be explained with requisite details over the email.
    Understanding of Portfolio Management, Role of Portfolio Manager/Key aspects of Investment Management

Salary: Not Disclosed by Recruiter

Industry: Other

Functional Area: Other


Employment Type: Permanent Job, Full Time


Desired Candidate Profile

    Please refer to the Job description above
Company Profile:

Naukri Premium - Employer Services

American multinational investment bank and financial services
View Contact Details
Apply without registration

IEIL has taken all reasonable steps to ensure that information on this site is authentic. Applicants are advised to research bonafides of advertisers independently. IEIL shall not have any responsibility in this regard. We also recommend that you visit Security Guidelines and Terms and Conditions for more comprehensive information on this aspect.

Get Better Jobs & Higher Salaries. Suggested courses

Max 2MB, doc, docx, rtf, pdf
We will create your profile