Investment Compliance Jobs description
The investment compliance executive has to conduct pre-trade approval for all trades related to the company clients and trading partners. He has to monitor positions against investment parameters/ restrictions each day. The investment compliance executive analyzes the compliance impact for new security/instrument types. He has to report on investment compliance policies to various internal and external clients and stakeholders so that they are forewarned of what is in store. The investment compliance executive also investigates, escalates, and reports issues to business management. The investment compliance executive establishes and documents compliance processes and procedures for new mandates and managers. He also trains new staff on investment compliance processes to clients and regulators.The job requirements of the position are:
- Bachelor's degree in any discipline with increased exposure in compliance laws and regulations.
- Experience and knowledge of compliance measures, SOX compliance etc. is required.
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