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 trading application i.e. Charles River Development (CRD)
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 transactions, identifying breaches and following up with relevant stakeholders to ensure rectification
Assist in resolving queries with regional compliance teams
Assist with ongoing review of relevant processes and procedures to ensure best practice
Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership
Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
Interact with members of regional and global compliance teams to assess,document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
Act as subject matter expert in resolving complex situations in day to day tasks and mentor other colleagues in team
Assist in Compliance related projects and initiatives.
Assist legal and compliance staff members as required.
Effectively find solutions to compliance issues as they arise.
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