Job Description
Exp: 3-6 years
Location: Bangalore
Role Overview:
We are seeking an experienced and detail-oriented Senior Legal & Compliance Analyst to play a key role in ensuring that organization operates within the boundaries of applicable laws and regulations while maintaining the highest standards of ethical conduct. This role involves managing compliance programs, providing legal and regulatory guidance, and supporting risk mitigation efforts. The ideal candidate will have a strong legal and compliance background, excellent analytical skills, and the ability to lead initiatives that promote a culture of compliance and integrity.
Responsibilities:
Compliance Oversight, Data Management & Reporting:
Compliance Dashboard: Conduct daily compliance and liquidity reporting.
IPO Pre-Clearance Reviews: Evaluate daily IPO requests for subadvisors, ensuring adherence to affiliation guidelines and coordinate decisions with compliance teams.
Alerts Review: Analyze daily alerts and Mutual Fund Account Compliance Summaries to identify violations.
Master Affiliates List Updates: Review compliance emails and maintain updated affiliates database.
Daily IPO Checks: Screen IPO alerts flagged during daily processes.
Perform trade compliance for Direct and related portfolios.
New Deals Evaluation: Validate guidelines for new deals.
Monthly Guideline Testing: Assess end-of-month trade guidelines for compliance with selected accounts.
Daily Restriction Alerts: Check restriction alerts and enforce accurate application of compliance directives.
Manager Outreach: Facilitate quarterly manager confirmations of restricted list compliance.
Compliance Reporting: Prepare monthly reports for Alternative Investment Fund Managers Directive review.
Restricted List Monitoring: Collaborate with compliance staff to ensure regular updates and accurate audits of restricted lists.
Guideline Testing: Conduct collaborative testing for pre- and post-trade scenarios on specific portfolios.
Data Export & System Backups: Manage data backups from platforms like HedgeHog.
Internal Reporting: Draft internal reports and outreach plans tied to compliance issues.
Inbox Monitoring: Monitor designated inboxes for trade approvals daily.
ERISA Trade Reviews: Ensure monthly accuracy of ERISA portfolio transactions.
Passive Alerts Reconciliation: Investigate passive alerts and escalate legal compliance issues.
Experience: 3-5 Years .
Reinvent your world. We are building a modern Wipro. We are an end-to-end digital transformation partner with the boldest ambitions. To realize them, we need people inspired by reinvention. Of yourself, your career, and your skills. We want to see the constant evolution of our business and our industry. It has always been in our DNA - as the world around us changes, so do we. Join a business powered by purpose and a place that empowers you to design your own reinvention.