FS-RISK CONSULTING-MS - EY COMPLY and RVS-INVESTMENT COMPLIANCE-MANAGER

At EY, you’ll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we’re counting on your unique voice and perspective to help EY become even better, too. Join us and build an exceptional experience for yourself, and a better working world for all.

Position: Senior

Travel- Travel to US for training is expected

The opportunity:

Work as Senior on multiple workstreams for Investment Compliance role including investment guidelines, guidelines monitoring, post trade monitoring, trade compliance, portfolio compliance for an asset management client.

Responsibilities:

Candidate will be responsible for managing and performing one or more of the following functions:

• Performing and compliant with the Investment Compliance guidelines monitoring & reporting operations,
• General operations including Assist in investment compliance testing, coding investment guidelines into the CRD (Charles River) Rule/ Guidelines coding system to ensure investment compliance for U. S 1940 regulations.
• Providing end to end support to investment company clients & compliance team
• Contribute time in executing IRC calculations according to the client’s desired frequency and adhering to the deadline.
• Worked with internal and external resources to create a strategic and a standardized platform to reduce the risk events to maintain the client confidentiality.
• Partner with technology to identify opportunities to improve operational efficiencies and automation in index data management processes.
• Research and create detailed documentation for new and existing data sources, working with technology and vendors to standardize data.
• Onboarding of new clients for investment compliance by understanding client requirements, investment mandate and extracting compliance restrictions to create a compliance rule matrix as per the guidelines.
• Derivative Compliance.
• Trade and Portfolio Compliance
• Checking for alerts & warnings on dashboard as per guidelines.
• Identifying any unusual suspicious transaction activity and reporting or escalating.
• Reviewing & reporting the alerts to the clients.
• Prepare yearly, quarterly and monthly compliance report, certifications projects and assignments
• Define new procedures and controls to enhance the overall operational risk process.
• Drive high-quality work products within expected timeframes and budget.
• Hands on experience working on Bloomberg platform.
• Identify, evaluate, and suggest new technology opportunities that is value-driven for platform enablement and act as key differentiators for any offerings in WAM/BCM space.
• Facilitate and encourage the necessary conversations between the Business and Technology to determine the what and the how of the product features.
• Work with Technology and business partners in identifying process improvement areas and bring in the culture of automation.
• Collaborate with business, architects to translate business requirements into scalable solution options and provide inputs to product roadmap/strategy.
  
  

Requirements:

• 4-10 years of experience in Asset management sector, Exposure to US based asset management will be an addon.
• Experience in financial statement reporting or regulatory reporting to various US based Regulators..
• Master’s degree in accounting or finance is mandatory with CPA/ CA/ MBA will be good to have.
• A Strong understanding of financial industry with fund accounting, expense reporting, tax reporting, asset types and derivatives is mandatory.
• Hands on experience on SQL, Python skill sets is required.
• Strong understanding of Fixed Income securities, Derivatives products is must.
• Functional knowledge: good knowledge and understanding of financial instruments and exposure to banking/WAM domains, Exposure to US based asset management will be an addon.
• General understanding of US GAAP and regulatory requirements is a plus.
• Experience on financial statements is a plus.
• Crisp and effective executive communication skills, including significant experience presenting cross-functionally and across all levels.
• Understanding BRD would be an added advantage.
• Should pay attention to detail, proficient in MS applications (Word, Excel, Power Point), excellent analytical skills and must display effective interaction capabilities with various stakeholders.
  
  

What We Offer

EY Global Delivery Services (GDS) is a dynamic and truly global delivery network. We work across six locations – Argentina, China, India, the Philippines, Poland and the UK – and with teams from all EY service lines, geographies and sectors, playing a vital role in the delivery of the EY growth strategy. From accountants to coders to advisory consultants, we offer a wide variety of fulfilling career opportunities that span all business disciplines. In GDS, you will collaborate with EY teams on exciting projects and work with well-known brands from across the globe. We’ll introduce you to an ever-expanding ecosystem of people, learning, skills and insights that will stay with you throughout your career.

• Continuous learning: You’ll develop the mindset and skills to navigate whatever comes next.
• Success as defined by you: We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.
• Transformative leadership: We’ll give you the insights, coaching and confidence to be the leader the world needs.
• Diverse and inclusive culture: You’ll be embraced for who you are and empowered to use your voice to help others find theirs.
  
  

EY | Building a better working world

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