Senior Investment Compliance – Wealth & Asset Management

Senior Investment Compliance Consultant coding client and regulatory rules for EY’s wealth and asset-management operations. Reviewing guidelines, testing compliance platforms, and managing operational risks.

Posted 9/8/2026full-timeMumbai • 🇮🇳 IndiaSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong expertise in rule coding and compliance within asset management, with a focus on financial products and regulations. Capable of optimizing processes, managing resources, and ensuring data quality while maintaining compliance with investment guidelines.

Highest-signal resume keywords

Rule Coding ExpertiseTrade Compliance ApplicationsAsset Management ExperienceAnalytical SkillsDetail Orientation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Rule CodingFinancial ProductsRegulationsPortfolio ManagementPost-Trade Compliance TestsOperational Risk AnalysisData AnalyticsCompliance TestingInvestment Guidelines InterpretationCounterparty Management

Soft Skills

Team ManagementProcess OptimizationDecision MakingResource ManagementPerformance Evaluation

Tools & Technologies

LZ SentinelCharles RiverAladdin (Compliance)SimCorp DimensionThinkFolio

Certifications & Qualifications

FRMCFACISI

Industry Keywords

Investment Management Agreements1940 ActUCITS RegulationsERISAFixed IncomeEquityDerivativesCompliance PlatformsCounterparty RecordsData Quality

About the role

Key responsibilities & impact

Perform analytical review of Investment Guidelines provided by investors and institutions
Annotate and interpret Investment Management Agreements, Prospectuses, SAI, and Delegate Sleeve Agreements
Schedule annotation meetings with Desk, IC Leads, and Portfolio Managers to agree on interpretation
Code client and regulatory rules on compliance platforms and perform rule testing
Set up counterparties and brokers for trading and maintain counterparty records
Partner with operations teams to improve data availability and underlying data quality
Review new data analytics and update compliance platforms
Understand and set up rules according to ratings agencies
Identify and fix coding issues to avoid false positives
Maintain Legal and Compliance approved and restricted lists
Perform periodic reviews of account coding for accuracy and consistency
Research ad-hoc queries from the compliance reporting team to determine portfolio alignment with investment guidelines
Identify and analyze operational risks and recommend procedural changes
Make decisions, optimize processes, manage resources, and oversee team management as needed
Allocate personnel, supervise team members, assign tasks, provide tools and support, and evaluate performance against organizational goals

Requirements

What you’ll need

7+ years of experience
Strong expertise in rule coding, financial products, and regulations
Experience in asset management, capital markets, compliance, fixed income, equity, derivatives, and regulations
Expert-level skills in trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, and ThinkFolio
Expertise in 1940 Act, UCITS Regulations, or ERISA is an added advantage
Analytical and interpretation skills for client agreement language and post-trade compliance tests
Understanding of financial instruments traded by Portfolio Managers
Strong detail orientation with zero tolerance for oversight mistakes
Understanding of portfolio management, the role of Portfolio Manager, and key aspects of investment management
FRM, CFA, or CISI certification is preferred but not required

Benefits

Comp & perks

Flexible environment
Health and wellness packages
Rewards
Learning opportunities
Professional development opportunities
Opportunities to build new skills
Leadership roles
Mentorship and networking opportunities
Diverse and inclusive culture
Disability-related adjustments or accommodations during recruitment process