Junior Client Funding Operations Specialist
TMGM
Associate Compliance and Control Representative II
BNY
full-time
Posted on:
Origin: • 🇮🇳 India
Visit company websiteJob Level
JuniorMid-Level
About the role
- Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues (post-trade and pre-trade).
- Investigate and authorize portfolio managers trades on a real time basis as part of pre-trade checks/alerts in ALADDIN.
- Develop and test automated rules in ALADDIN and perform associated manual monitoring.
- Participate in new account setup and guideline change process.
- Work with Portfolio Management, Trading, Data Management and Investment Control to determine trade suitability and review daily trading activity.
- Assist Team Lead on assigned projects and participate in ongoing testing of web enhancements.
Requirements
- Bachelor's degree preferably in computer science/engineering or a related discipline.
- Experience in Alladin preferred.
- Moderately skilled in Compliance, Regulatory requirements like UCITS, ERISA, US 40 Act etc.
- Review and interpret governing documents including Investment Management Agreements, Prospectuses, Statement of Additional Information, Fund Declarations.
- Develop and test automated rules in ALADDIN.
- Proficiency in Bloomberg and other major software applications.
- Participate in new account setup and guideline change process.
- Investigate and authorize portfolio managers trades on a real time basis per pre-trade checks/alerts in ALADDIN.
