Analyst, Portfolio Compliance

Connor, Clark & Lunn Financial Group (CC&L); Gurugram District; On-site; INR 900,000 - 1,500,000; Full time

Job summary

Connor, Clark & Lunn Financial Group in Gurugram, India, invites applications for a Portfolio Compliance Analyst to join our Portfolio Compliance Team. You will work with institutional portfolio managers and affiliate compliance officers to ensure adherence to client mandates, regulations, and firm guidelines.

You will leverage Charles River and FundApps to monitor and report compliance, develop certificates and reports, and support cross-functional teams across portfolio management, operations,

Qualifications

• 2–5 years of experience in Asset Management performing a compliance related function.
• Strong analytical mindset and problem-solving skills.
• Ability to work with cross-functional teams including portfolio management, operations and legal.

Responsibilities

• Using Charles River to create and monitor pre-trade and post-trade compliance rules across asset classes and security types.
• Using FundApps to monitor and report beneficial ownership, short selling, and takeover panel disclosures.
• Preparing compliance certificates and compliance reports for managers, clients and regulators.
• Collaborating with portfolio management, operations and legal to address compliance questions and resolve issues.
• Maintaining and improving portfolio compliance procedures and controls.
• Taking a lead role in projects of varying scope and size.

Skills

Asset Management compliance

Risk management

Analytical thinking

Attention to detail

Communication and collaboration

Project management

Organizational skills

MS Excel proficiency

Charles River experience

Tools

Charles River

MS Excel

Job description

We are looking for a Portfolio Compliance Analyst to join our Portfolio Compliance Team at Connor, Clark & Lunn Financial Group in Gurugram, India. Compliance plays a critical role in the investment process and in this position, you will have the opportunity to work alongside our institutional portfolio managers and affiliate compliance officers. The role of compliance continues to evolve in complexity and importance. This is a fantastic opportunity to be part of a growing team whose scope and visibility continues to increase!

What Will You Do

• Using Charles River to create and monitor pre-trade and post-trade compliance rules across all asset classes and security types. These compliance rules are derived from client mandates, global regulations, industry best practices, and firm wide guidelines.
• Using FundApps to monitor and report beneficial ownership, short selling, and takeover panel disclosures.
• Preparing compliance certificates and compliance reports either internally for managers or externally for clients and regulators.
• Working with various business groups within the company (portfolio management, operations, legal). You will be answering their compliance related questions and helping resolving issues.
• Maintaining and continuously improving portfolio compliance related procedures and controls.
• Taking a lead role in projects that vary in scope and size.

What You Bring

• A Passion for Compliance – You have two to five years of experience in Asset Management performing a compliance related function.
• Risk Intelligent Mindset – You have a solid understanding of portfolio compliance and its role within a broader risk management framework.
• A Passion for Operational Excellence – You display a professional attitude where attention to detail, accuracy and timeliness are critical success factors in achieving your goals and objectives.
• Critical Thinking – You possess an analytical mindset and like to solve problems.
• Curiosity – You are inquisitive and are not afraid to ask questions.
• Collaborative Communication – You communicate effectively and have a collaborative sprit that helps you to work well with others.
• Project Management – You have strong project management skills.
• Organization - You are organized and can manage multiple tasks and interruptions.
• Technology Savvy – You are able to pick up new systems and tools quickly. You have advanced computer skills with an emphasis on MS Excel. Charles River experience is an asset.

CC&L Financial Group is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to gender, ethnicity, religion, sexual orientation or expression, disability, or age.

Your application will be reviewed by a member of the hiring team - AI is not used in the screening, assessment or selection of applications at this time.