Job Description

Skill required:

Asset Management - Asset Portfolio Analysis

Designation:

Capital Markets Operations Associate

Qualifications:

Any Graduation

Years of Experience:

1 to 3 years

About Accenture

Accenture is a global professional services company with leading capabilities in digital, cloud and security.Combining unmatched experience and specialized skills across more than 40 industries, we offer Strategy and Consulting, Technology and Operations services, and Accenture Song-- all powered by the world's largest network of Advanced Technology and Intelligent Operations centers. Our 699,000 people deliver on the promise of technology and human ingenuity every day, serving clients in more than 120 countries. We embrace the power of change to create value and shared success for our clients, people, shareholders, partners and communities.Visit us at www.accenture.com

What would you do?

Investment Compliance is a global team responsible for ensuring compliance with a diverse set of requirements, including regulatory, prospectus, client-directed, internal investment, and operational restrictions ("Compliance Restrictions") for portfolios managed by our client This position sits within the Implementation team which is responsible for the on-boarding of new accounts and products, oversight of amendments to existing accounts, and programming of all restrictions into the firm's investment compliance monitoring system, Charles River (CRD). The Investment Compliance Senior Analyst consults with and provides information to investment personnel, attorneys, client operations managers and other internal and external parties. The analyst assesses the impacts of regulatory changes, new investment strategies, and data changes on the CRD rule library. The analyst also participates in and manages projects assigned by the Investment Compliance leadership team.

What are we looking for?

o Bachelor s degree or the equivalent combination of education and relevant experience AND o 2-4 years of total relevant work experience o Experience with Trading/IBOR/OMS systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform o Practical understanding of investment security types (e.g. stocks, bonds, derivatives) o Proven analytical skills within the area of investment compliance or a related field o Strong attention to detail; commitment to quality o Strong customer service orientation o Strong interpersonal skills; effective written and oral communications o Ability to adapt and thrive in a dynamic environment with evolving priorities. o Ability to thrive in a trading related atmosphere o Strong organizational skills; proficient in handling multiple tasks simultaneously o Strong research and problem-solving skills o Leads and collaborates on projects: Takes ownership of medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomes o Assesses the impact of change: Evaluates the implications of regulatory changes, new investment strategies, products and derivative instruments on compliance processes and contributes to the development of impactful solutions o Develops clear and comprehensive documentation: Develops user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparency

Roles and Responsibilities:

o New account on-boarding, amendments to existing client documentation, and coding (using CRD) o Liaises with client operations and/or product on new accounts or changes for existing clients to provide compliance feedback, manage priorities, and meet inception deadlines o Reviews investment restrictions in proposed new account documentation and guideline amendment language to ensure ability to code the compliance system as well as clarify intent, if needed o Programs logic-based rules in CRD in order to effectively monitor client and regulatory requirements o Collaborates with investment staff to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio o Performs quality assurance testing and review of rules programmed by other team members o Evaluates compliance system functionality and available data elements to determine how restrictions can be captured in the compliance systems o Provides creative coding solutions and alternatives to capture complex requirements o Assesses impacts of code changes and tests restrictions to ensure they function as intended o Escalates any operational roadblocks or risks in new client requirements to management Process Improvement: o Continuously seeks opportunities to enhance efficiency: Actively identifies process improvement opportunities. o Champions risk reduction: Works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient o Drives automation and innovation: Recommends and implements solutions to automate manual rules, integrate new compliance functionality and leverage data as a result of system upgrades o Fosters knowledge sharing and collaboration: Develops deep expertise in the Charles River system, or other investment compliance monitoring system(s), and proactively shares knowledge to significantly increase depth of knowledge within the Monitoring team o Challenges the status quo: Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges o Contributes to rule optimization: Actively monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective




Any Graduation