Quick Overview
Seniority
Mid Senior
Employment type
Full Time
Work mode
Hybrid
Location
Pune, India
Posted
13 hours ago
CFAComplianceDerivativesFixed IncomeOnboarding
Job Description
Specialist, Fraud Detection/Surveillance II
We’re seeking a future team member for the role of Specialist, Fraud Detection/Surveillance II to join our Trade Surveillance team. This role is located in Pune.
In this role, you’ll make an impact in the following ways:
- Monitor client portfolios to ensure compliance with investment guidelines and regulatory requirements.
- Perform post-trade compliance monitoring and reporting on a daily, monthly, and quarterly basis.
- Identify and investigate active and passive compliance breaches in collaboration with investment managers and relevant stakeholders.
- Support new client onboarding by interpreting investment mandates, coding portfolio restrictions, and generating exception reports.
- Maintain legal and compliance-approved restricted lists and ensure timely updates in line with internal policies and regulatory requirements.
- Review investment management documentation such as Investment Management Agreements, Prospectuses, and Statements of Additional Information (SAI) to support compliance rule interpretation and implementation.
- Code, test, and validate investment rules within compliance monitoring systems such as Aladdin, CRD etc.
To be successful in this role, we’re seeking the following:
- Experience in portfolio compliance monitoring within the investment management industry.
- Strong knowledge of investment regulations, including the Investment Advisers Act of 1940, Investment Company Act, UCITS, and MiFID.
- Understanding of multiple asset classes, including Fixed Income, Equities, Derivatives, Currencies, and Money Market Instruments.
- Hands-on experience with any compliance platforms such as BlackRock Aladdin, Charles River IMS (CRD), LatentZero Sentinel, or Bloomberg AIM.
- Ability to interpret client mandates and translate them into system-coded investment restrictions.
- Strong analytical and problem-solving skills, with excellent attention to detail.
- 4+ years of total work experience
- Bachelor’s degree in finance or the equivalent combination of education and experience is required.
- CFA Level 1 or FRM are preferred.
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