Associate Compliance Manager
Core
Monitor, prepare, and file regulatory reports and disclosures for substantial shareholdings across global regions to ensure compliance with regulatory requirements.
Role type
Associate Compliance Manager (People Management)
Builds
Regulatory reporting and compliance monitoring processes for a global investment management firm
Domain
Financial Services / Investment Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory reporting, Substantial shareholding monitoring, People management, Team leadership, Analytical skills, Process improvement, Cross-functional collaboration, MS Office proficiency
Preferred skills
Knowledge of Financial products and Mutual fund industry, Familiarity with trading systems (Charles River, Bloomberg), Bachelors or Master's degree in Commerce/Finance
Responsibilities
Monitor and review daily, weekly, monthly, and quarterly compliance reports; Prepare documentation to substantiate processes and meet regulatory requirements; Analyze data for substantial shareholding reporting; Stay current on regulatory changes and update procedures; Mentor, coach, and guide the team including performance support and development planning; Handle business decisions and resolve queries from external parties and internal teams; Monitor new processes and ensure consistent day-to-day production through resource planning.
Seniority
Mid-Senior, hands-on IC with people management responsibilities
