Investment Compliance Analyst, Associate 2

Bangaloreonsitejunior

Posted yesterday · via Workday

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About this role

Who we are looking for: Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange Commission) requirements and (ii) investment guidelines stated in the Prospectus/Statement of Additional Information (SAI). What you will be responsible for: Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix.…

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