Investment Guideline Compliance

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Skills you'll use

What you'll do

• 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.

Who can apply

• 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)

About AllianceBernstein

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