Compliance - Compliance Testing - Associate

AQR India; Bengaluru; On-site; INR 900,000 - 1,300,000; Full time

Job summary

AQR India is seeking a detail-oriented Associate for Compliance Testing based in Bengaluru. You will support annual compliance reviews under Rule 38a-1 and Rule 206(4)-7, coordinate information requests, perform preliminary analyses, and help maintain the workflow and documentation.

Ideal candidates hold a BA/BS with 3–5 years in financial services compliance, and possess knowledge of U.S. securities laws and regulations.

Qualifications

• BA/BS with 3–5 years in financial services compliance.
• Experience in testing, monitoring, or audit functions for investment advisers or registered funds.
• Knowledge of U.S. securities laws and regulations (Investment Advisers Act, 1940; Investment Company Act, 1940).

Responsibilities

• Support compliance testing and annual reviews under Rule 38a-1 and Rule 206(4)-7; coordinate information/document requests.
• Assist with ad hoc compliance projects; maintain documentation and workflow transparency.

Skills

Compliance experience

Analytical

Communication

Teamwork

Education

BA/BS in Finance/Related Field

Tools

Microsoft Office

Job description

Compliance - Compliance Testing - Associate

About AQR Capital India

AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing. By putting theory into practice, we have become a leader in alternative strategies and an innovator in traditional portfolio management since 1998.

At AQR India, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We’re determined to know what makes financial markets tick – and we’ll ask every question and challenge every assumption. We recognize and respect the power of collaboration, and believe transparency and openness to new ideas leads to innovation.

We are currently seeking a detail oriented and analytical individual with three to five years of Compliance experience and strong organization, testing, and writing skills to join our Compliance Department.

Your Role

• Provide support for compliance testing, including the annual compliance reviews conducted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act, and other regulatory-related requirements, including:
  • Coordinate with internal teams about requests for information/documentation,
  • Perform preliminary reviews and analyses of information/documentation,
  • Maintain organizational framework, including tracking status of requests, document submission, review and approval process, etc.
• Assist with ad hoc projects

What You’ll Bring

• A BA or BS and a minimum of three to five years of experience in a financial services Compliance role, preferably in a testing, monitoring, or audit function for an Investment Adviser or Registered Investment Company
• Knowledge of the U.S. federal securities and commodities laws, rules and regulations including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Commodity Exchange Act.
• Ability to work independently as well as within a team

Who You Are

• Intelligent, energetic and goal-oriented with the ability to manage multiple tasks simultaneously, meet deadlines, and exercise sound judgment
• Excellent oral and written communication skills; must be able to confidently collaborate with various departments across the firm
• Organized and detail oriented
• Proficient in Microsoft Office suite
• A self-starter with the ability to see tasks through to completion in a highly intellectual and collaborative environment

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