Deputy Manager - Compliance

Invesco MF; Mumbai; Sur place; INR 3 500 000 - 5 500 000; Plein temps

Résumé du poste

Invesco Mutual Fund seeks a Deputy Manager - Compliance to lead investment limit monitoring, monitor market abuse risks, and support regulatory governance. The role requires deep knowledge of MF regulations, strong Excel skills, and experience with compliance frameworks.

You will liaise with risk and investment teams to ensure controls and reporting meet regulatory requirements and internal standards. The candidate will update policies, assist in training, and coordinate with internal and

Qualifications

• CA preferred; MBA or Masters in Law with relevant industry experience may apply.
• FRM will be an added advantage.

Responsabilités

• Monitor investment limits, review trading rules, and manage limit breaches with risk teams.
• Support institutional mechanism for market abuse detection, including alert generation and closure.
• Review and update manuals, policies, and governance around investment functions and compliance.
• Oversee monitoring systems for trading activity, best execution, and controls in dealing rooms.

Connaissances

Investment limit monitoring

MS Excel

Analytical thinking

Regulatory interpretation

Formation

CA

MBA or Masters in Law

Outils

Bloomberg Order Management System

Description du poste

0 - 5 Years

Employee

Job Description

Position:

Deputy Manager - Compliance

Reports to (Position):

Director & Head - Compliance

Location:

Core Responsibilities:

• Investment limitmonitoring, coding of new rules, review the settings of existing rules intrading application for various investment restrictions, clearing of trade alerts,providing reports related to limit monitoring activity to Compliance team / Risk team for onward reporting, closelyworking with Chief Risk Officer and Investment Risk team on aspects related toinvestment limits / breaches, liase with Investment Ops. team (Mid-office team)for activities having impact on limit monitoring, providing guidance toinvestment team & other functions on various aspects of limit monitoring& regulatory implications. The candidate is expected to bring in paradigmshift to limit monitoring vertical and take it to next level [i.e. comprehensiverepository of limits applicable to all schemes (regulatory, SID, internal,logical etc.), impart periodic training to investment team & otherfunctions on aspects related to investment limit monitoring / regulatoryimplications, continuous review of controls around limit monitoring function& suggest improvements etc./] (Note: Currently IAMI uses Bloomberg tradingapplication)
• Supporting activitiesrelated to implementation of Institutional mechanism for identification &deterrence of Market Abuse activities including front running, i.e. generationof alert, review of alerts, support CEO / Compliance officer for closure ofalerts and reporting requirements pursuant to institutional mechanism, reviewof logic for generating alerts, working with CRO closely for alerts.
• Review manuals / policiesaround investment function / investment related activities i.e. Equity / FixedIncome Manual, Credit Assessment Policy, Trade Execution & Allocation,Stress Testing, Polling, Voting, Stewardship Code, IST, Best execution, voicerecording, dealing room controls etc. & draft new policies/ manuals as maybe required from time to time.
• Putting in place systemsfor monitoring of trading activities viz. best execution, price variance,volume participation, dealing room controls etc.

Support / Manage Other Compliance Activities

• Compliance matters i.e.product launch & related activities, HY updation of SIDs / KIMs, review / vettingof marketing materials, review of HY financials / portfolios / scheme annualreport, Manuals & policies implementation & updation, notices &addendums, checklists for various regulatory activities, other compliance relatedmatters as may be delegated from time to time.
• Regulatory as well asBoard reporting / senior (global) leadership of Invesco.
• Regulatory changemanagement (with specific focus on investment related activities) i.e. keepingtrack of regulatory changes, analysis of circulars / notifications, impactanalysis & tracking of implementations at IAMI, tracking orders issued bySEBI, SAT & Courts, informal guidance, & preparing impact / actionpoints for IAMI.
• Providing guidance tointernal / external stakeholders on various regulatory & compliance matters.
• Liase with Internal &Statutory Auditors for data requirements related to limit monitoring / marketabuse monitoring
• AML related activities. Suggesting measures for process improvements,automation, review & strengthening of controls framework, act as a changeagent.

Principal Accountabilities:

• All activities / aspectsrelated to Investment Limit Monitoring / Institutional mechanism for prevention/ detection of Market Abuse activities.
• Regulatory compliances /reporting for MFs.
• R egulatory changemanagement & process improvements & automation.

Qualifications:

Preference is for CA. However, candidates with MBA /Masters in Law qualification with relevant industry experience may also apply.Additional qualification like FRM will be added advantage.

Knowledge:

Looking for candidates who have managed investment limit monitoringfunction at MF/ insurance company or at back-office centre of global assetmanagers. Knowledge of MF Regulations with emphasis on investment limitsmonitoring, understanding of various types of instruments, market practices /settlement cycles is a prerequisite. Further, the candidate should have excellentskills in MS excel.

Competencies: E xecution skills, analytical bendof mind, good communication skills, ability to decode the regulations, solution oriented.

Attributes:

Commitment& passion for work, eagerness to learn, teamwork, ability to stretch &sustain work pressures, good inter-personal skills, Team player

Preferred IndustryExperience:

Minimum 7-10 years’ experiencein capital / securities market / limit monitoring function (candidates with AMCbackground & having experience with Bloomberg Order Management System will havean edge)