Years of Experience
1-2 years of work experience in trading and/or investment management industry
Qualifications
- A Bachelor s degree, Business or Finance preferred.
- Relevant internship or 1-2 years of work experience in investment management or financial services, including previous experience with professional ethics (employee personal trading, outside business activities, gifts and entertainment) and U.S. regulatory filings.
- A passion for and strong understanding of a regulatory compliance program.
- Proficient Excel skills.
Responsibilities
- Provide regulatory and policy guidance on professional ethics matters.
- Identify areas of improvement, emerging risks and regulatory focus.
- Lead project initiatives of the adviser compliance program to ensure a robust framework is in place for policies and procedures, governance, training, testing, monitoring and risk assessments.
- Design and perform periodic training, testing and monitoring exercises.
- Contribute to and validate the compliance risk assessment of the investment adviser activities.
- Prepare quarterly and annual regulatory reporting with strong coordination with Operations, Legal, and the Investment Division.
- Provide oversight of SEBI registrations and activity, including regulatory updates and compliance with SEBI regulations.
- Initiate, build and cultivate strong relationships across the enterprise to become a trusted adviser that is able to navigate and create solutions to address complex issues.
Candidate Requirements
- Excellent organization skills, the ability to prioritize effectively, and have the ability to work under pressure without compromising quality.
- Proactive approach to tasks and responsibilities.
- Motivated to work in a multicultural and international environment.
- Analytical and process-oriented mindset.
- Ability to multi-task effectively and handle change well.
- Results-oriented team player with the ability to work cross-functionally in a team environment.
Core Values
- Strong interpersonal, oral, and written communication and collaboration skills with all levels of management.
- Strong organizational skills including the ability to adapt to shifting priorities and meet frequent deadlines.
- Demonstrated proactive approach to problem-solving with strong judgment and decision-making capability.
- Highly resourceful and collaborative team-player, with the ability to also be independently effective and exude initiative and a sense of urgency.
- Exemplifies our customer-focused, action-oriented, results-driven culture.
- Forward looking thinker, who actively seeks opportunities, has a desire for continuous learning, and proposes solutions.
- Ability to act with discretion and maintain complete confidentiality.
- Dedicated to the firm s values of non-negotiable integrity, valuing our people, exceeding client expectations, and embracing intellectual curiosity and rigor.
