The Compliance team is responsible for the oversight of the Firm’s surveillance and monitoring program in a second line capacity as well as providing regulatory guidance to the Firm.
Team’s objective is to deliver strong, risk-adjusted returns that are less correlated, through a complementary suite of traditional and alternative credit strategies. In pursuing this objective, the investment strategy and approach to credit selection are based on intensive fundamental research and credit analysis, combined with active portfolio management to minimize credit losses.
Key Responsibilities:
Conduct trade surveillance against core regulatory requirements.
Best Execution (sample based surveillance) across all asset classes
Allocation (sample based reviews) across all asset classes
Cross trading (reviews of process and price discovery) across all asset classes (ex- FX)
Checking data sites for Private and Public designation
Undertake sample reviews of Expert Network transcripts for potential dissemination of MNPI
Undertake Gifts & Hospitality checks against claimed expenses to ensure full and complete declarations of provided entertainment
Undertake ad-hoc Monitoring thematic reviews on key risk areas- review of Firm policies and practices vs regulatory expectations.
Technology and Tools:
Utilize compliance surveillance tools and technologies to enhance monitoring capabilities and automate surveillance processes where possible.
Stay informed about emerging technologies and industry trends in compliance surveillance.
Collaboration and Communication:
Work closely with various teams, including Compliance, portfolio managers and traders to execute against assigned surveillance tasks.
Good understanding of financial markets, asset management, and investment strategies.
Ideally 2-3 years relevant experience in asset management surveillance served for a UK or US based investment manager
Experience in compliance surveillance, risk management, or related areas within the asset management industry.
Proficiency in data analysis and the use of compliance surveillance tools.
Excellent analytical skills and attention to detail.
Ability to work independently, prioritize tasks, and meet deadlines in a fast-paced environment.
Strong ethical standards and integrity in handling confidential and sensitive information.
Job Level - Individual Contributor
Work Shift Timings - 2:00 PM – 11:00 PM IST
Top Skills
What We Do
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