4 Rule Coding Jobs

As an Associate, Compliance & Control II at BNY, you will have the opportunity to join the Insight Investment team in Chennai, TN HYBRID. Your main responsibilities will involve handling Pre & Post trade alerts, Guideline coding, and Guideline drafting reviews within Charles River. You will collaborate closely with senior team members to work on Guideline-related projects, suggest process improvements, and enhance your CRD technical skills. Your key responsibilities will include monitoring post-trade batch alerts daily, ensuring timely notification to front office and other business groups, coding new mandates/amendments into Charles River within agreed timelines, and verifying the accuracy of coding interpretations. You will also be responsible for addressing client guideline queries promptly, producing compliance attestations on a monthly and quarterly basis, and supporting fund managers with ad-hoc queries related to pre-trade warnings. To excel in this role, you should possess excellent academic credentials from a reputed institute, a minimum of 3-5 years of rule coding experience on Charles River (preferably on V20 or above), and relevant experience in monitoring pre & post trade compliance on Charles River or a similar Order Management System. Strong communication and analytical skills, advanced knowledge of Microsoft Word, Power Point, and Excel, as well as a solid understanding of fixed income securities and derivatives are essential for success in this role. You should also be proactive, self-supportive, and motivated to promote a positive compliance and risk culture within the firm. BNY is committed to fostering an inclusive workplace culture and has been recognized for its innovation and diversity efforts. If you are looking to make a meaningful impact and grow your career in a global financial services company that values talent and diversity, this role could be the perfect fit for you. Join us at BNY and be a part of our award-winning team that is dedicated to making money work for the world. BNY is proud to be an Equal Employment Opportunity/Affirmative Action Employer that values diversity and inclusion. If you are ready to take on a challenging yet rewarding role in compliance and control, we encourage you to apply and be a part of our dynamic team at BNY.,

As a Senior Associate, Compliance & Control at BNY, you will be an integral part of the Insight Investment team based in Chennai, TN HYBRID. Your primary responsibility will be to handle Pre & Post trade alerts, Guideline coding, and Guideline drafting reviews within Charles River. You will play a key role in assisting with Guideline related projects, suggesting process improvements, and supporting junior associates in enhancing their CRD technical skills. Your daily tasks will include monitoring post trade batch alerts, ensuring accurate and timely coding of new mandates/amendments into Charles River, collaborating with Fund Managers and Client Directors for accurate interpretation of coding, responding to client guideline queries promptly and accurately, and overseeing post-trade monitoring to escalate and record incidents proactively. Additionally, you will be responsible for producing monthly and quarterly compliance attestations within deadlines, supporting fund managers with ad-hoc queries related to pre-trade warnings, engaging with IT for system evolution, reviewing guidelines with Fund Management and Client Services teams, and devising ways to reduce operational risks and enhance process efficiency. Successful candidates for this role should possess excellent academic qualifications from a reputed institute, a minimum of 7-9+ years of rule coding experience on Charles River, expertise in pre & post trade compliance monitoring, strong communication and analytical skills, advanced knowledge of Microsoft Word, Power Point, and Excel, and a proactive and self-motivated approach towards promoting a positive compliance and risk culture within the organization. Furthermore, candidates should have a strong understanding of fixed income securities, including derivatives, and demonstrate a high level of ownership towards their role and responsibilities. BNY offers a rewarding and inclusive work culture, as evidenced by numerous awards such as Americas Most Innovative Companies, Worlds Most Admired Companies, and top performance in various sustainability and equality indices. BNY is committed to providing equal employment opportunities and fostering diversity and inclusion within the workplace, welcoming individuals from underrepresented racial and ethnic groups, females, individuals with disabilities, and protected veterans.,

At EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture, and technology to become the best version of you. We are counting on your unique voice and perspective to help EY become even better. Join us and build an exceptional experience for yourself, and a better working world for all. As a Compliance rule coder and tester on Blackrock Aladdin/other platforms professional, you will utilize your expertise and prior work experience on one or more asset classes such as fixed income, equity, derivatives, etc. Your responsibilities will include Guideline Interpretation, Rule Coding and Testing, Pre Trade & Post Trade Compliance Monitoring, and Investment Compliance. Technical experience in working with data, understanding relational data models, and executing SQL queries is essential. Exposure to working with Wealth and Asset Management firms and a complete understanding of the Buy side business will be required. Your client responsibilities will involve working as an individual contributor/lead in one or more Wealth and Asset Management projects. You may need to manage a team of junior business analysts based on project requirements. Communication with onsite coordinators, completion of assigned tasks on time, regular status reporting to the lead, manager, and onsite coordinators, as well as interface with customer representatives as needed will be part of your role. Travel to customers" locations may be required on a need basis. In terms of people responsibilities, you will be expected to build a quality culture, manage the performance of direct reportees, foster teamwork, lead by example, provide training and mentoring to project resources, and participate in organization-wide people initiatives. Mandatory skills for this role include sectorial experience in financial services/capital markets, with domain knowledge on different asset classes across front office, middle office, and back office for either or both buy and sell side of business. Knowledge of portfolio management, trade execution, data control and operations, and portfolio administration is crucial. You should have experience in understanding client requirements, relating them appropriately to the team, defining and validating customization needs for packages as per client requirements, and expertise in Oracle, MS SQL, DB2 databases, and good data analytics skills. In-depth knowledge of CFA concepts like portfolio management, wealth planning, Fixed income, Equity, Alternate investment, Derivatives, etc., is required. Leadership skills are essential for this role, along with excellent client-facing abilities. A degree in MBA/MCA/BE/B.Tech or equivalent with 8 to 10 years of experience in the financial services industry is preferred. EY exists to build a better working world, helping to create long-term value for clients, people, and society, and build trust in the capital markets. With diverse teams in over 150 countries, EY provides trust through assurance and helps clients grow, transform, and operate across assurance, consulting, law, strategy, tax, and transactions. EY teams ask better questions to find new answers for the complex issues facing our world today.,

About the job: Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts, combined with proprietary technology, supports more than 500 financial institutions and consulting companies to operate more efficiently and unlock their human capital, driving revenue higher and transforming operations. Acuity is headquartered in London and operates from 10 locations worldwide. The company fosters a diverse, equitable and inclusive work environment, nurturing talent, regardless of race, gender, ethnicity or sexual orientation. Acuity was established as a separate business from Moodys Corporation in 2019, following its acquisition by Equistone Partners Europe (Equistone). In January 2023, funds advised by global private equity firm Permira acquired a majority stake in the business from Equistone, which remains invested as a minority shareholder. Job Responsibilities: Investment compliance team is responsible for implementing controls and processes which will ensure that all investments in various portfolios are adhering to regulatory as well as client issued guidelines. The incumbent will primarily be responsible for reading investment management agreements and extracting, analyzing, coding of client, regulatory and internal investment guidelines on various compliance systems like Sentinel, Aladdin, AIM etc. The incumbent will also be responsible for performing daily review of post trade incidents, researching any potential breach during trading, liaising with onshore analysts and portfolio management teams to ensure portfolios are complying to all guidelines. Associate of the investment compliance team will be an expert in the process and should be able to perform the task with minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster. Key Responsibilities New account on-boarding activities. Guideline reviews and account coding Identify gaps in existing coding and suggest enhancements. Perform daily review of post trade incidents and perform thorough investigations to identify root cause of the failure. Liaison with portfolio managers, client relationship managers and ensure portfolio is adhering to all guidelines. Handle queries of junior team members and help them learn the process. Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team. Work on list updates which includes firm wide restricted list updates as well as client specific lists. Client certifications and attestations Perform checks on non codeable guidelines. Work on projects as required. Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Key Competencies Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Sound interpretational & logical reasoning skills to comprehend investment guidelines. Strong Microsoft Office knowledge is required. Experience in Investment Compliance functions including coding and post-trade monitoring is mandatory. Experience in one of the following solution providers is required: Sentinel, Aladdin, Bloomberg AIM, Geneva. Interested candidates can share me their resume @dolimoni.kalita@acuitykp.com