Manthan Sarode Email & Phone Number

Hyderabad, In

Pune, Maharashtra, India

• As an Investment Compliance Analyst, I am responsible for pre-trade and post-trade monitoring activities to ensure compliance with regulatory requirements and internal policies within the investment management industry. I specialize in coding and perform various other tasks, such as account opening and closing, updating restricted lists. • Pre and Post Trade : Conduct pre-trade compliance checks to ensure adherence to investment guidelines, regulatory requirements, and client-specific… Show more • As an Investment Compliance Analyst, I am responsible for pre-trade and post-trade monitoring activities to ensure compliance with regulatory requirements and internal policies within the investment management industry. I specialize in coding and perform various other tasks, such as account opening and closing, updating restricted lists. • Pre and Post Trade : Conduct pre-trade compliance checks to ensure adherence to investment guidelines, regulatory requirements, and client-specific restrictions. Perform post-trade monitoring of investment activities to identify any breaches or deviations from established guidelines and promptly remediate any issues.• CODING : Interpret investment guidelines and code compliance rules within the compliance monitoring software which is sentinel to automate compliance checks.• Maintain and update the restricted lists to reflect changes in regulatory requirements, internal policies, and client-specific restrictions.• Other tasks include account opening and closing processes, ensuring accurate and timely completion of necessary documentation and system updates. Collaborate with portfolio managers to address any compliance-related queries, resolve issues.• Work on other Ad hoc task as and when provided by clients. Show less

Pune, Maharashtra, India