Roles and Responsibilities

Investment Compliance role with Leading Asset Management Company Roles & Responsibility:- Perform the review of regulatory and client guidelines to ensure accuracy
and efficiency of existing rules coded and/or to code relevant rules on order
management system
Regular Rule maintenance on Order Management System (OMS)
application Aladdin
Conduct Account Mapping / Review viz a viz applicable rule
Prepare documentation to support reviews conducted and to
substantiate/demonstrate adequate processes/controls in coding rules on
order management system
Address compliance alerts/warnings (mainly overnight compliance) related
to trading strategies and the application of technology related or manual
controls created and applied during this process
Perform review of portfolio transactions and monitor compliance investment
restrictions as they apply to holdings and tran...