Senior Associate- Shareholding Disclosures

Job location- Bangalore/ Pune

Job Purpose:

Assisting the Investment Compliance Team with periodic tasks that pertain to, but not limited, the Major Shareholder disclosures and Client On-boarding process. Using analytical skills, research skills, and teamwork to gain knowledge of regulatory requirements relating to investment compliance for both US and non-US jurisdictions. Any ad-hoc tasks and projects as required.

Key responsibilities:

Prepare and research shareholder disclosure alerts investment guidelines, and other relevant reports.

Review and comment on the current prospectus, statement of additional information, investment advisory agreement, and Declaration of Trust or Articles of Incorporation for each fund or account. Ensure funds and accounts comply with applicable rules and regulations. Keep abreast of same.

Key competencies:

Qualifications/Skills:

Bachelor's Degree or equivalent work experience.

4+ years of investment management, financial services or industry-related compliance experience is preferred.

At least 4 years of experience of major shareholder disclosures.

Strong interpersonal, organizational, communication, customer service, team-working and problem-solving skills.

Must be thorough, detail-oriented, persistent, self-motivated, and able to function with a high degree of independence and accuracy.

Must be able to work on multiple projects while meeting competing deadlines.

Demonstrated ability to work effectively with employees and outside parties at all organizational levels.

An aptitude for analytical work and an interest in that work is necessary.

Strong writing abilities.

Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in internal systems as required to perform the duties of this position.

Must be able to conduct research and to utilize applicable tools.