Investment Guideline Compliance

Company Description

As a leading global investment management firm, AB fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals, and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.
With over 4,400 employees across 51 locations in 25 countries, our people are our advantage. We foster a culture of intellectual curiosity and collaboration to create an environment where everyone can thrive and do their best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business, or providing thoughtful advice to clients, we’re looking for unique voices to help lead us forward. If you’re ready to challenge your limits and build your future, join us.

Job Description Summary

We are seeking a Pune based Analyst to join our Investment Guideline compliance (IGC)in Global Technology & Operations.

Team/Group Description

IGC is responsible for the daily management of client investment guidelines through multiple compliance systems, most notably, ION Sentinel / Latent Zero. We ensure that investment guideline restrictions are maintained and followed; ensuring proper notification of guideline compliance is dispersed to all relevant parties. The IGC team plays a key role in the investment process; a critical part of performing our fiduciary responsibility is properly implementing and monitoring key investment guidelines.

Role Description

To perform various Investment Compliance tasks including interpreting guidelines, coding, and ad hoc functions. The individual will be expected to learn the various compliance platforms and to also learn the regulatory and client guideline requirements. The Analyst will need to be able to communicate effectively with various internal and external clients.

Key job responsibilities include, but are not limited to

Responsible for supporting all Investment Guideline Management activities across guideline documentation reviews, rule coding implementation & Rule Testing.
Read, identify, and interpret investment restrictions from guidelines and various other
sources used for effective account management Code rules into our compliance
applications from client guidelines
•Test and implement new investment restrictions across compliance systems, ensuring
coding is accurate and complete across regulatory and client-specific requirements
•Perform data integrity checks in the compliance applications and address gaps by working
with Data Management and Technology to source or update information
• Produce reports, document records, maintain and archive such records and reports
• Respond quickly and accurately to inquiries regarding investment guideline compliance

Restricted list update (Daily/Monthly& Weekly)

What makes this role unique or interesting (if applicable)?

This role will expose the employee to many functional areas within the investment management process, including sales, portfolio management and risk; the employee will also have the opportunity to learn about the data required to support the investment guideline compliance process, and gain an appreciation for the complexity of the instruments we invest in. The engagement with both front office/trading/portfolio management and back office/technology areas, makes this role especially interesting and challenging. The exposure to multiple business areas – including Fixed Income, Equity and Multi Asset – will provide the analyst with broad exposure to the different business disciplines. The role consists of daily fixed responsibilities and duties; however, the individual will also be expected to help with many projects and ad hoc tasks.

Job Qualifications (The ideal candidate should have the following)

The ideal candidate should preferably have a degree in Finance, Economics, or

Accounting. (we will consider candidates with non-finance degrees with 2/3 years of experience in finance)

Skills

• The candidate has experience working with a team and meeting time sensitive deadlines

• The candidate should be proficient in Excel. Experience with investment compliance tools is preferable, however additional training will be provided to support the role.

• Familiarity with Fixed Income instruments is a plus

• Familiarity with investment fund regulations including 1940 Act and UCITS

• Familiarity with ESG screening data across vendors such as MSCI, ISS, or Sustainalytics

Special Knowledge (if applicable)

Technical skills including SQL or MS Access is a plus.