Principal Financial Group
Website:
principal.com
Job details:
Responsibilities
- Pre-Trade and Post-Trade Monitoring
- Knowledge of Regulatory rules like UCITS, APAC Regulations (such as MPF- Mandatory Pension
Funds) and SEC 1940 Act Funds.
- Perform Daily Compliance checks to ensure trades are in line with client guidelines and regulatory
requirements.
- Investigate and resolve compliance breaches, escalating as necessary.
- Guideline interpretation & Documentation
- Interpret Investment Management Agreements (IMAs), Prospectus and Statements of Additional
Information (SAIs).
- Translate legal and regulatory language into actionable compliance rules.
- Guideline Coding & Maintenance
- Code and Maintain compliance rules in engines such as Charles River (CRD / CRIMS) or similar
platforms.
- Review and validate coding logic to ensure accuracy and completeness.
- Collaborate with Portfolio Managers (PMs/PMAs), legal and operations to ensure proper
implementation.
- Compliance Oversight and Reporting
- Generate and review compliance reports for internal stakeholders and clients.
- Support audit and regulatory requests with accurate documentation and analysis.
- Change Management & Projects
- Participate in onboarding new accounts and changes to existing mandates
- Lead and/or support compliance related projects, including system upgrades and automation
initiatives.
- Review existing coding in Charles River and assist in clean-up project.
- Help, Mentor, train and/or advise junior staff members?
- Risk Identification & Mitigation:
- Proactively identify compliance risks and recommend mitigation strategies
Qualifications
Bachelors and above. Masters preferred. CFA/FRM good to have.
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