Job Role

• Daily Monitoring of investment restrictions and guidelines.
• Learn and practice rule coding and testing in Order Management System (OMS).
• During normal day-to-day operation, responsible for identifying any unusual or potential breach through transaction activity and reporting and/or escalating in accordance with the guidelines detailed in relevant operating procedures.
• Help in preparing documentation to support reviews conducted and to substantiate and demonstrate adequate processes / controls to meet SEC / regulatory requirements and ensure compliance with all policies and procedures.
• Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls
• Assist in addressing day to day compliance issues related to trading strategies and the application of technology related controls created and applied within this process
• Collaborate with global legal and compliance staff as required
• Effectively find solutions to compliance issues as they arise
• Respond to basic, intermediary and advanced/complex questions/queries from other teams independently and report to managers for escalation
• Assist in Compliance related projects and responsibilities and bring efficiencies in the process through automations or implementation of enhanced controls
• Present learnings to Compliance team from time to time

Capgemini Recruitment 2024 is hiring Fresher – Associate

The Experience You Bring

• 0-2years of related work experience in Asset Management Industry. Knowledge of financial products and / or programming language(s) will be added advantage.
• Experience with regulatory environments such as UCITS, SFC, FCA, SEC, and ERISA would be an added advantage.
• Excellent communication and interpersonal skills
• Strong analytical skills and attention to detail
• Ability to work both independently and as well as a team
• Effective computer skills
• Flexible and adaptable attitude
• Proficiency on MS Office suite of applications

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