Senior Investment Compliance - Wealth & Asset Management

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. 

Consulting – WAM – Investment Compliance: Senior Consultant

At EY, we’re all in to shape your future with confidence. 

We’ll help you succeed in a globally connected powerhouse of diverse teams and take your career wherever you want it to go. 

Join EY and help to build a better working world. 

About Global Delivery Services

Global Delivery Services refers to EY's worldwide network of service delivery centres. The GDS team plays an important role in EY’s strategy by ensuring effective support to EY’s growth agenda.

Our journey started in 2002 with approximately 200 people. Today we stand at 80,000+ professionals in ten locations around the world. We operate in Argentina, China, Hungary, India, Philippines, Poland, Sri Lanka, Mexico, Spain and the United Kingdom.

Client service is focused on providing Consulting, Assurance, Tax, Strategy & Transactions, and Knowledge support to our clients around the world. The teams enable account teams worldwide to provide seamless, high-quality, value-added support, helping deliver exceptional client service.

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Our innovation specialists serve the GDS Client Service and Enablement Services teams, along with Service Lines, Core Business Services and Sectors. The team brings the desired environment, technologies and skilled teams together for facilitation, rapid prototyping and innovative thinking. The competencies offered include analytics, digital, user experience, mobile technology, infrastructure, Microsoft technologies and open innovation.

The Opportunity

Role Summary

Seeking an Investment Compliance professional with strong expertise in Rule coding, financial products and regulations. The role will require eye for detail to capture all compliance requirements and avoid mistakes. The role will also require effective client interactions to build a strong relation.

Role: Investment Compliance – Rule Coding

Experience: 7+ Years

Domain: Asset Management, Capital Markets, Compliance, Fixed income, Equity, Derivatives, Regulations

Your Key Responsibilities

• Performing analytical review of Investment Guidelines provided by investors and institutions.
• Annotation/Interpretation of Investment management Agreement/Prospectus/ SAI / Delegate Sleeve Agreements
• Scheduling the Annotation meeting with Desk/IC Leads/PMs to agree on Interpretation
• Coding client and regulatory rules on compliance platforms along with rule Testing
• Counterparty and broker setups for trading & Counterparty maintenance.
• Partner with various operations team to improve data availability and overall quality of underlying data.
• Review new data analytics and update compliance platforms
• Understand and setup rules as per ratings agencies
• Identification of coding issues and fix them to avoid false positives.
• Maintenance of Legal & Compliance approved & restricted lists.
• Perform periodic reviews of account coding to ensure accuracy & consistency.
• Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines
• Identify and analyse operations risks related to current and potential business and recommends procedural changes as needed.
• Responsible for decision-making, optimizing processes, resource management, and overseeing team management as needed for task execution.
• Accountable for allocating personnel, supervising team members, assigning tasks, ensuring that the team has the necessary tools and support to succeed in their roles and optimizing and evaluating their performance to meet organizational goals.

Skills and attributes for success

• Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
• Expertise of 1940 Act, UCITS Regulations or ERISA will be added advantage
• Analytical & Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills.
• One needs to understand financial instruments which are being traded by Portfolio Managers to code guidelines or to perform secondary research.
• Detail Orientation: Function is critical from an impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes.
• Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management
• Certifications: Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities & Investment) are preferred, but certification is not a must for the role

What we offer you

At EY, we’ll develop you with future-focused skills and equip you with world-class experiences. We’ll empower you in a flexible environment, and fuel you and your extraordinary talents in a diverse and inclusive culture of globally connected teams. Learn more.

Are you ready to shape your future with confidence? Apply today. 

To help create an equitable and inclusive experience during the recruitment process, please inform us as soon as possible about any disability-related adjustments or accommodations you may need.

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Benefits: Embark on a transformative career journey with us and indulge in a suite of premium benefits, encompassing exclusive health and wellness packages, enticing rewards, and cutting-edge learning opportunities that empower you to continually grow and excel in your professional and personal development.

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Successful candidates advance to a competency-based interview. If mutual interest persists, a job offer awaits.

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