Position Title Associate | Function, Responsibility Level Operations | Reports to Manager |
Associate Name | Span of Control 0 | Location - GOSC Noida |
Permanent/ Temporary Permanent |
Basic Function - Monitor and resolve intraday pre-trade compliance restrictions and warnings via Dashboard and override where necessary.
- Research and resolve post-trade overnight compliance restrictions via Green Package Compliance reports.
- Review overrides and resolution process post-trade for audit purposes.
- Work with Portfolio Managers, Traders and Allocations to review and resolve breaches.
- Work with Risk Management, Regional Leaders and ALM Committee members if guideline waivers or changes are required.
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Essential Functions - Commerce Graduate from good school
- Basis understanding of Compliance functions and the processes involved.
- Good understanding of Stock Market and trading aspects and regulatory/compliance framework and regulations
- Comfortable with working on different platforms and skilled in MS Excel.
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Primary Internal Interactions - Stateside Compliance/Legal team
- Other Internal stakeholders
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Primary External Interactions - On need basis with Blackrock or other vendors
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