CIB - Compliance Reporting - Endeavour - Fund Servicing Associate I

Job Description :

The Role would be falling in the operations domain with a mix of activities to help us migrate clients onto the new Platform. Primary responsibility of the Compliance Reporting Associate is the timely and accurate delivery of the daily mandate reports which includes the coding of client mandates into rules, review and investigation of the resulting potential violations and escalation of the same to Client within the agreed delivery date.
In addition, the Associate should:

• Ensure adherence of operational procedures to complete task in an accurate and timely manner.
• Analyze, Investigate, resolve and substantiate key differences in reconciliations between client vs fund manager
• Support the Manager/s in the objective to provide top quality operations in support of this global business.
• Able to interpret client mandate and changes, if any, and accordingly provide functional input to code the rules or make necessary changes to any existing rules Review rules setup and acts as a control point toward achieving that the rule is working as per client requirement.
• Investigate investment guideline breaches with the investment manager to assist the client in the breach resolution process. Provide innovative solutions to client requirements (including coding the Compliance Reporting application) in sync with optimization of the rule library in place. Document procedures and identify requirements for additional controls.
• The role would also be aligned to a migration program, wherein apart from supporting and performing activities as in BAU, the responsibility would be to:
  • Act as a change agent and provide technical expertise to key projects/initiatives in the compliance reporting function. Elicitation, documentation and validation of requirements
  • Solution Assessment & Validation - Working with project team members and stakeholders to assess proposed solutions and operating models
  • Testing including creation of test scenarios, test scripts and execution of testing and sign off. Testing may include System Testing, User Acceptance Testing and Production Verification Testing. Assessment of the business impact of defects and issues.
• Change Management including creation of the implementation plan, coordination of implementation activities including user access, user guides, training manuals, delivery of training, control updates and sign offs
• Provide training to Compliance team to ensure readiness for migrating to the new platform
• Foster information sharing so that continuity of data exists within the site and across the business.
• Regular reviews of procedures assuring new processes are documented.
• Can work under minimal supervision

• 5 years or more work experience in Banking/Finance or related industries
• Good understanding of the Capital Markets and related products Effective oral & written communication skills
• Compliance reporting product knowledge
• Knowledge of the processes of a fund's Custodian Bank and Investment Manager
• Strong analytical, organizational problem solving and initiative driven skills
• Ability to think outside the box and challenge the status quo Meticulous attention to detail
• Committed approach with the ability to communicate effectively within a small team
• Flexibility - support department projects and work overtime during peak production periods
• Demonstrated supervisory and leadership skills.
• Ability to work in a deadline driven environment
• Strong analytical skills
• Exhibits a can do attitude
• Good written & spoken English communication skills
• Ability to partner effectively with peers, colleagues and clients
• Time management and organizational skills
• Ability to take ownership of issues and escalate where relevant