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DeloitteEmployer profile

Investment Compliance Rule Coding - Sr. Consultant

Location not specified · 5–7 yrs

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Experience
5–7 yrs
Salary
Not disclosed
Location
Location not specified
Work mode
Not specified
Job type
Full-time
Apply by
Closing date not listed
Posted
11 Feb 37

About this role

Summary

 Position Summary

About At Deloitte, we do not offer you just a job, but a career in the highly sought-after risk Management field. We are one of the business leaders in the risk market. We work with a vision to make the world more prosperous, trustworthy, and safe. Deloitte’s clients, primarily based outside of India, are large, complex organizations that constantly evolve and innovate to build better products and services. In the process, they encounter various risks and the work we do to help them address these risks is increasingly important to their success—and to the strength of the economy and public security. By joining us, you will get to work with diverse teams of professionals who design, manage, and implement risk-centric solutions across a variety of domains. In the process, you will gain exposure to the risk-centric challenges faced in today’s world by organizations across a range of industry sectors and become subject matter experts in those areas. Our Risk and Financial Advisory services professionals help organizations effectively navigate business risks and opportunities from strategic, reputation, and financial risks to operational, cyber, and regulatory risks-to gain competitive advantage. We apply our experience in ongoing business operations and corporate lifecycle events to help clients become stronger and more resilient. Our market-leading teams help clients embrace complexity to accelerate performance, disrupt through innovation, and lead in their industries. We use cutting-edge technology like AI/ML techniques, analytics, and RPA to solve Deloitte’s clients ‘most complex issues. Working in Risk and Financial Advisory at Deloitte US-India offices has the power to redefine your ambitions.

As an integral part of this practice, the Regulatory and Legal Support (R&LS) team plays a vital role in managing risk and ensuring compliance for businesses. The R&LS team is specialized in risk management, governance, legal and regulatory enforcement action support, transactional flow analysis, legal entity structuring, compensation analysis/plans, and information reporting. By aligning people, processes, and technologies, the team guides clients through emerging regulatory regimes globally. It also supports clients who become targets of legal or regulatory enforcement actions by initiating internal investigations, which may include e-discovery and personnel interviews. The R&LS team's services aim to secure trust, resilience, and security for enduring success.

Work we do:

As a consultant/senior consultant in the Investment Compliance Monitoring (ICM) team, you will assist asset managers and service providers in their efforts to enhance the efficiency and effectiveness of their compliance monitoring capabilities. You will perform contract analysis of source documentation, such as investment guidelines and prospectus to identify, capture, code and test investment restrictions within the ICM system on a remedial and forward-looking basis. You will also assist clients in designing and implementing a target operating model (TOM) for the ICM function and selection and optimization of the implementation of automated ICM systems, all aligned with leading industry practices.

Workyou’lldo:

  • Essential Technical Expertise:
  • Compliance Coding Proficiency: Experience in coding Investment Compliance constraints/rules for various financial products, including Equity, Derivatives, Fixed Income, and Alternative Investment using platforms like Aladdin, CRD, or Latent Zero Sentinel.
  • Compliance Rule Assessment: Ability to evaluate existing rules for accuracy and effectiveness within the order management system, including the coding of client and regulatory rules on compliance platforms. In-depth understanding of restrictions such as the Investment Company Act 1940, UCITS, Investment Advisers Act of 1940, Securities Act of 1933 is expected. Knowledge of state insurance investment rules would be an advantage.
  • Standard Rule Setting: Experience in setting standard rule coding for generic rules, including cash limits, concentration limits, and stock/issuer/sector/currency /country bet limits etc.
  • Control Parameters/Classification: Strong understanding of securities ratings methods, industry classification, benchmark indexes, compliance calculation builder, and various control parameters.
  • Documentation and Testing: Proficiency in writing testing documents to demonstrate reviews conducted and to illustrate adequate processes/controls in coding rules on the order management system.
  • Conversion/Migration: Experience in conversion and migration activities, including client deliverables, processes, and data conversion mapping. Ability in Conversion and migration of investment compliance rules onto Charles River/Aladdin/LZ Sentinel.
  • Compliance Monitoring: Ability to monitor Pre and Post-trade transactions, ensuring compliance with investment limits for holdings and transactions. The candidate should be adept at identifying and reporting breaches and collaborating with relevant parties for resolution.
  • Compliance Rules Testing and Adjustment: Ability to execute Business User Acceptance Testing (BUAT) and re-engineering of compliance rules encoded in platforms like CRIMS, Aladdin, or LZ Sentinel, accompanied by comprehensive commentary.
  • Investment Guideline Review/Analysis: Experience in reviewing Investment Guidelines and language used in investment Management agreements, SAI, Prospectus.
  • Industry Experience: Experience in a financial services organization (preferably a bank, capital markets organization or broker-dealer), regulatory agency, or consulting firm, with a clear record of expertise, accomplishment, and impact is highly valued.
  • Domain Expertise: Exposure in one or more domains within Capital Markets and Asset Management such as Trading Operations, Securities Operations, Wealth/Asset Management Operations, Prime Brokerage Operations, Trust Operations, Custody, Clearing and Settlement, Automated Clearing House facilities, Investment Compliance, Trade and Market Surveillance, Conduct Risk, or other relevant domain areas.
  • Technical and Operational Proficiency: Familiarity with Macros and SQL, along with a strong understanding of the front, middle, and back-office operations, investment operations, investment management, and capital markets.

Required Qualifications

  • Master’s degree in finance or Master of Business Administration (MBA)
  • 5-7 years of relevant experience
  • Across any of 7 USI locations (Hyderabad, Bengaluru, Delhi, Mumbai, Kolkata, Chennai, Pune)

Preferred

  • FRMand/orCFAcertification.
  • Prior consulting experience.

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Recruiting tips

From developing a stand out resume to putting your best foot forward in the interview, we want you to feel prepared and confident as you explore opportunities at Deloitte. Check out recruiting tips from Deloitte recruiters.

Benefits

At Deloitte, we know that great people make a great organization. We value our people and offer employees a broad range of benefits. Learn more about what working at Deloitte can mean for you.

Our people and culture

Our diverse, equitable, and inclusive culture empowers our people to be who they are, contribute their unique perspectives, and make a difference individually and collectively. It enables us to leverage different ideas and perspectives, and bring more creativity and innovation to help solve our client most complex challenges. This makes Deloitte one of the most rewarding places to work. Learn more about our inclusive culture.

Our purpose

Deloitte’s purpose is to make an impact that matters for our clients, our people, and in our communities. We are creating trust and confidence in a more equitable society. At Deloitte, purpose is synonymous with how we work every day. It defines who we are. We are focusing our collective efforts to advance sustainability, equity, and trust that come to life through our core commitments. Learn more about Deloitte's purpose, commitments, and impact.

Professional development

From entry-level employees to senior leaders, we believe there’s always room to learn. We offer opportunities to build new skills, take on leadership opportunities and connect and grow through mentorship. From on-the-job learning experiences to formal development programs, our professionals have a variety of opportunities to continue to grow throughout their career.

Requisition code: 184916

Skills

Legal
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