Key Responsibilities
Compliance Rule Setup
Analyze client requirements, prospectuses, and investment mandates to extract compliance restrictions.Liaise with clients to obtain additional information required for rule interpretation and setup.Work closely with internal coding teams to translate compliance rules into system-based logic.Compliance Monitoring & Reviews
Perform annual reviews of compliance matrices against updated prospectuses/SAIs.Support ad-hoc queries from compliance reporting teams to assess portfolio adherence to guidelines.Ensure accurate implementation and maintenance of rules for daily and monthly compliance monitoring.Regulatory Interpretation & Advisory
Demonstrate strong domain knowledge in investment compliance.Interpret complex regulatory requirements and translate them into actionab...