Investment compliance rule coding

Investment compliance

Investment Compliance, guidelines coding in Sentinel, thinkfolio and PTC.

A competent professional with proficiency in writing compliance rules in Aladdin platform. (Compliance System).•Analysis of the Investment guidelines provided by the client,•Coding compliance rules/tests as directed by the client or the regulatory bodies into the Aladdin system using BQL (Blackrock Query Language).•Performing Pre trade and Post trade Compliance checks on the portfolios.•Testing compliance rules by putting dummy trades using trade entry system.•Validate, if the rule is correct and ready to be implemented.•Qualitative compliance test includes: Asset allocation and issuer concentration, industry, sector and security investment limits, Credit quality, Duration, Var and other risk characteristics, leverage restrictions, country and region exposures, asset mix, tracking error, corporate governance and industry regulations.•Creating and maintaining the manual tests in excel for the guidelines which can’t be coded.•Taking preventive and curative actions based on the research on breaches in the portfolio’s guidelines by checking them in compliance Dashboard.•Providing certification reports to the client on violations in their portfolio by reviewing the compliance reports.•Onboarding client’s new account•Updating and reviewing compliance setup for the existing clients accounts to ensure that it is compliant with clients and regulators ever changing requirements.•Working closely with auditors to ensure that everything is documented and recorded.

Analysing balance sheets of diffrent companies and submit the report to management.