Invesco Real Estate

About Invesco Real Estate

Job Title: Compliance Analyst / Senior Compliance Analyst Job Code: Department: Compliance (9211HYD) Location: Hyderabad Report To: FLSA (US Only): Direct Reports: None No of positions: 2 Job Purpose (Job Summary): Primary role would be to support Batch compliance, Rule coding and Rule maintenance in accordance with relevant regulations (like: 1940 Act Rules, UCITS Rules, ERISA etc.) and fund-specific investment restrictions as contained in the prospectus or investment management agreement. Work closely with regional Compliance teams in US. Provide assistance with compliance monitoring via Charles River and other applicable projects/assignments. Key Responsibilities / Duties: Address day to day compliance alerts/warnings (mainly overnight batch compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective parties to ensure rectification Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements Rule maintenance on trading application like: Charles River Maintaining the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position Assist in resolving queries from regional compliance team and Front Office on compliance matters Assist with ongoing review of relevant processes and procedures to ensure best practice Attend selected meetings/committees as a representative of Compliance Conduct Account Mapping / Review viz a viz applicable rules Prepare Monthly Metrics report from CRD for senior management 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 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 Assist in Compliance related projects and responsibilities. Assist the legal and compliance staff as requested. Effectively find solutions to compliance issues as they arise. Working Timings: Work with US Region i.e. 05.30pm to 02.30am IST however this may change as per requirement. Work Experience / Knowledge: Total work experience of 3-5 years required including relevant work experience with an investment advisor or mutual fund group in Compliance or regulatory environment. Good knowledge of and experience with Equity Products required, including U.S. Retail Mutual Funds, UCITS Funds, Institutional and Proprietary Products. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required. Experience with regulatory environments such as 1940 Act, ERISA, SFC, FCA, SEC, etc. is required. Skills / Other Personal Attributes Required: Good written and verbal communication skills Good interpersonal and strong analytical skills Strong attention to detail Shall be a good team player Shall be open to work flexible hours Proficiency on MS Office suite of applications Familiarity with trading systems and compliance components such as Charles River, Bloomberg, LZ Sentinel or Aladdin Formal Education: (minimum requirement to perform job duties) B.Com / M.Com / MBA /CA /CS / Degree in Commerce/Finance Disclaimer: The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. Incumbents may be required to perform other duties as deemed appropriate by the supervisor from time to time. Job Description Job Title: Compliance Analyst / Senior Compliance Analyst Job Code: Department: Compliance (9211HYD) Location: Hyderabad Report To: FLSA (US Only): Direct Reports: None No of positions: 2 Job Purpose (Job Summary): Primary role would be to support Batch compliance, Rule coding and Rule maintenance in accordance with relevant regulations (like: 1940 Act Rules, UCITS Rules, ERISA etc.) and fund-specific investment restrictions as contained in the prospectus or investment management agreement. Work closely with regional Compliance teams in US. Provide assistance with compliance monitoring via Charles River and other applicable projects/assignments. Key Responsibilities / Duties: Address day to day compliance alerts/warnings (mainly overnight batch compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective parties to ensure rectification Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements Rule maintenance on trading application like: Charles River Maintaining the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position Assist in resolving queries from regional compliance team and Front Office on compliance matters Assist with ongoing review of relevant processes and procedures to ensure best practice Attend selected meetings/committees as a representative of Compliance Conduct Account Mapping / Review viz a viz applicable rules Prepare Monthly Metrics report from CRD for senior management 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 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 Assist in Compliance related projects and responsibilities. Assist the legal and compliance staff as requested. Effectively find solutions to compliance issues as they arise. Working Timings: Work with US Region i.e. 05.30pm to 02.30am IST however this may change as per requirement. Work Experience / Knowledge: Total work experience of 3-5 years required including relevant work experience with an investment advisor or mutual fund group in Compliance or regulatory environment. Good knowledge of and experience with Equity Products required, including U.S. Retail Mutual Funds, UCITS Funds, Institutional and Proprietary Products. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required. Experience with regulatory environments such as 1940 Act, ERISA, SFC, FCA, SEC, etc. is required. Skills / Other Personal Attributes Required: Good written and verbal communication skills Good interpersonal and strong analytical skills Strong attention to detail Shall be a good team player Shall be open to work flexible hours Proficiency on MS Office suite of applications Familiarity with trading systems and compliance components such as Charles River, Bloomberg, LZ Sentinel or Aladdin Formal Education: (minimum requirement to perform job duties) B.Com / M.Com / MBA /CA /CS / Degree in Commerce/Finance Disclaimer: The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. Incumbents may be required to perform other duties as deemed appropriate by the supervisor from time to time.

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Legal Form: AS

Company Type: Public

Company Size: 5001 - 10000

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