Associate III - PCVM - Senior Analyst

UST; Chennai District; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

UST in Chennai is seeking an Investment Restrictions Compliance Specialist to oversee daily violation monitoring, onboarding and query resolution across asset classes. You will drive issue resolution and ensure robust controls on the Aladdin platform.

Engage with Investment desks, Product, Client Executives and external vendors to implement guidelines, support audits and improve efficiency. Strong communication and detail orientation are essential.

Qualifications

• Experience in Asset Management and investment restrictions monitoring.
• Proficiency in Excel; familiarity with Word, PowerPoint and SQL.
• Knowledge of UCITS, SFDR/SDR regulations is advantageous.
• Strong communication, organisation and problem-solving skills.

Responsibilities

• Oversee daily review of overnight violation monitoring and escalate issues.
• Collaborate with Investment desks, Product and Client Executives across asset classes.
• Provide advice on pre-trade violation overrides and onboarding of guidelines.
• Maintain Aladdin coding for trading and support initial queries and escalations.
• Deliver mandate guideline onboarding, impact assessments and control implementation.
• Support document processing and fulfil commitments from IMAs/regulations.
• Coordinate with client teams and vendors to enhance controls and best practices.
• Assist audits, regulator/client queries, and ensure timely responses.
• Identify gaps, advise on solutions, and communicate risks and training needs.
• Keep up with industry/regulatory changes and participate in projects.
• Coach junior team members and foster collaborative team environment.

Tools

Aladdin

Excel

Word

PowerPoint

SQL

Job description

Role Description

Work within a team responsible for Investment Restriction Compliance Management: violation oversight, onboarding and query resolution.

• Deliver and oversee the daily review of overnight violation monitoring; escape and follow through issues appropriately.
• Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues. Providing advice and assisting pre-trade violation overrides.
• Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.
• Deliver mandate investment guideline on-boarding and change activities, supporting initial impact assessments and implementation of controls onto the Aladdin platform suitable to your level of experience. Review the coding changes done by other team members.
• Support source document processing, identification, capture and fulfilment of commitments. These will be sourced from IMAs, regulations or internal teams etc.
• Collaborate with Client teams and external vendors to implement consistency, best practice and enhance the control environment.
• Resolve queries received and deliver regular tasks to high standard and delivered within agreed service levels, continuously ensuring a robust and efficient control environment.
• Assist in audit/regulator/client queries and visits coordinating requests and ensuring timely delivery of responses.
• Highlight and analyse gaps and troubleshoot errors and provide onward communication / training to message risks / gaps, propose innovative tested solutions
• Keep abreast of changes in the industry and regulations.
• Participate/Lead in projects and working groups relating to new markets, instruments and mandate in order to assess the impact on restrictions monitoring, and initiatives including providing suggestions on efficiency and risk deduction.
• Coach, mentor and train junior members of the team, ensuring procedures and materials are kept up to date.
• Support the development of an effective team by fostering collaboration, sharing expertise, and contributing to a positive and inclusive working environment. General skills and behaviours
• Good policy and procedure setting, and risk assessment skills.
• Track record of collaborating with internal clients and influencing cross-functional teams to deliver high-quality service within agreed SLAs.
• Involvement in projects and change initiatives is advantageous.
• Experience of the Asset Management industry and investment processes, in particular Investment Restrictions monitoring across a broad spectrum of investment products.
• Proficient in Excel. Experience with Word, PowerPoint, Aladdin (or equivalent), Microsoft applications and SQL.
• Knowledge of relevant investment restriction regulations e.g. UCITS, SFDR/SDR would be is advantageous. What you'll be like
• Excellent communication and interpersonal skills, both written and verbal.
• Positive, open-minded attitude to change and new ideas, with a creative approach to problem-solving and proactively seeks opportunities for improvement.
• Ability to learn quickly and apply new knowledge effectively.
• Strong organisational and prioritisation skills, with the ability to manage competing demands and deliver to tight deadlines.
• Meticulous attention to detail and a focus on quality and accuracy in all outputs. This is key for reviewing documentation, ensuring compliance with regulatory standards, and accurately processing information.
• Results-oriented, self-motivated, and enthusiastic, with a commitment to team success and client service.
• Demonstrates professional behaviour and contributes to a collaborative, innovative culture. Receptive to feedback, challenges the status quo, and proactively seeks opportunities for improvement.
• Thrives in a team environment, working towards a collective goal, taking joint accountability for team goals and objectives. Discharge of responsibilities
• The role holder shall ensure that all their responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Client Group, taking into account the interests of key stakeholders including clients, employees, regulators, suppliers and society as a whole.
• In discharging their responsibilities, the individual shall establish appropriate oversight and control structures for all areas under their control where needed.

Role Description

Work within a team responsible for Investment Restriction Compliance Management: violation oversight, onboarding and query resolution.

• Deliver and oversee the daily review of overnight violation monitoring; escape and follow through issues appropriately.
• Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues. Providing advice and assisting pre-trade violation overrides.
• Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.
• Deliver mandate investment guideline on-boarding and change activities, supporting initial impact assessments and implementation of controls onto the Aladdin platform suitable to your level of experience. Review the coding changes done by other team members.
• Support source document processing, identification, capture and fulfilment of commitments. These will be sourced from IMAs, regulations or internal teams etc.
• Collaborate with Client teams and external vendors to implement consistency, best practice and enhance the control environment.
• Resolve queries received and deliver regular tasks to high standard and delivered within agreed service levels, continuously ensuring a robust and efficient control environment.
• Assist in audit/regulator/client queries and visits coordinating requests and ensuring timely delivery of responses.
• Highlight and analyse gaps and troubleshoot errors and provide onward communication / training to message risks / gaps, propose innovative tested solutions
• Keep abreast of changes in the industry and regulations.
• Participate/Lead in projects and working groups relating to new markets, instruments and mandate in order to assess the impact on restrictions monitoring, and initiatives including providing suggestions on efficiency and risk deduction.
• Coach, mentor and train junior members of the team, ensuring procedures and materials are kept up to date.
• Support the development of an effective team by fostering collaboration, sharing expertise, and contributing to a positive and inclusive working environment. General skills and behaviours
• Good policy and procedure setting, and risk assessment skills.
• Track record of collaborating with internal clients and influencing cross-functional teams to deliver high-quality service within agreed SLAs.
• Involvement in projects and change initiatives is advantageous.
• Experience of the Asset Management industry and investment processes, in particular Investment Restrictions monitoring across a broad spectrum of investment products.
• Proficient in Excel. Experience with Word, PowerPoint, Aladdin (or equivalent), Microsoft applications and SQL.
• Knowledge of relevant investment restriction regulations e.g. UCITS, SFDR/SDR would be is advantageous. What you'll be like
• Excellent communication and interpersonal skills, both written and verbal.
• Positive, open-minded attitude to change and new ideas, with a creative approach to problem-solving and proactively seeks opportunities for improvement.
• Ability to learn quickly and apply new knowledge effectively.
• Strong organisational and prioritisation skills, with the ability to manage competing demands and deliver to tight deadlines.
• Meticulous attention to detail and a focus on quality and accuracy in all outputs. This is key for reviewing documentation, ensuring compliance with regulatory standards, and accurately processing information.
• Results-oriented, self-motivated, and enthusiastic, with a commitment to team success and client service.
• Demonstrates professional behaviour and contributes to a collaborative, innovative culture. Receptive to feedback, challenges the status quo, and proactively seeks opportunities for improvement.
• Thrives in a team environment, working towards a collective goal, taking joint accountability for team goals and objectives. Discharge of responsibilities
• The role holder shall ensure that all their responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Client Group, taking into account the interests of key stakeholders including clients, employees, regulators, suppliers and society as a whole.
• In discharging their responsibilities, the individual shall establish appropriate oversight and control structures for all areas under their control where needed.

Skills

Asset Management, Microsoft Excel, Investment Management