Sr. Ass/ Delivery Lead – Control room and Chaperoning

Immediate joiner or 1 month notice period candidate are preferred.

Candidate should have good understanding of MNPI, conflicts, insider trading, SEBI regulations on insider trading.

Job Purpose:

This role is part of corporate and forensic compliance team and works closely with stakeholders for control room inbox coverage, chaperoning, hedge fund procedures, data room access administration and Vendor checks.

One of the key responsibilities will be to support and deliver the objectives of clients and ensuring that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations and all evidence is collected and preserved in a manner prescribed by the clients.

Key Responsibilities:

Being proficient in all key compliance control room activities such as watch/restricted list maintenance, wall crossing, insider lists, information barrier, reconciliation of portfolio companies list against restricted trading list

Responsible for the accurate and timely maintenance of the firms restricted trading lists in accordance with regulatory requirements and internal policies

Maintenance of Conflicts tracker and assisting with deal flow coordination

Support Hedge funds trading and portfolio management teams by conducting sector performance reviews, maintaining the trade blotters, and performing trade allocation reviews

Managing and controlling access to data rooms

Manage and oversee the approval process for expert calls, conducting post call reviews and live chaperoning

Manage the onboarding of new vendors and conduct ongoing monitoring of the vendor portfolio

Ensure compliance with regulatory requirements and internal policies and Identify cases of non- compliance

Support client in high volume compliance task

Create and maintain applicable standard operating procedures

Ability to work independently and prioritize tasks effectively and manage multiple projects simultaneously in a fast-paced environment

Adhere to clients standard operating procedures, process workflows, and Acuitys compliance standards

Stay abreast of regulatory developments and industry best practices to suggest improvements in the clients process

Extensive interaction with clients compliance team in supporting their needs

Develop good interpersonal relationships with the clients to get the best information and insights from them

Communication with cross functional teams and senior management

Preparation of various MIS, dashboards, and other reports

Key Competencies:

Qualifications/Skills:

Bachelors degree required: preferably in accounting, finance, law, business management or related field

Sound Knowledge of compliance control room, hedge funds and chaperoning

Strong understanding of regulatory landscape in US, UK, or APAC

In-depth Understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers

Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.

Good understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc.

Strong research, analytical thinking, problem solving, and comprehension skills with ability to analyze and document large amounts of data

Self-starter with ability to work effectively with minimal supervision

Strong communication skills written and verbal

Strong proficiency in Microsoft applications

Preferred skills:

A certificate in the financial market or products will be an added advantage

Ability to work collaboratively with cross-geographical teams

Excellent time management and ability to multi-task

Experience:

5-7 years of total experience with strong experience in compliance predominantly in Control room and Chaperoning

Understanding of financial markets and financial instruments, including awareness of securities trading or trade life cycle