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Assistant Manager, Portfolio Compliance

Gurugram, Haryana, India

We are looking for an Assistant Manager, Portfolio Compliance to join our Portfolio Compliance Team at Connor, Clark & Lunn Financial Group. Compliance plays a critical role in the investment process and in this position, you will have the opportunity to work alongside our institutional portfolio managers and affiliate compliance officers. The role of compliance continues to evolve in complexity and importance. This is a fantastic opportunity to be part of a growing team whose scope and visibility continues to increase!

 

What You Will Do:

  • Configure, maintain, and monitor pre‑trade and post‑trade compliance rules in Charles River based on client mandates, regulatory requirements, and firm policies, including account mapping and periodic rule reviews.

  • Review and interpret client guidelines, IMAs, and applicable regulatory requirements to ensure compliance rules and monitoring remain accurate, effective, and up to date.

  • Perform ongoing portfolio compliance monitoring, including investigation and resolution of breaches, ad‑hoc compliance queries, and preparation of internal, client, and regulatory compliance reports.

  • Support the testing, implementation, and ongoing enhancement of compliance monitoring processes, including identifying opportunities for efficiency improvements and automation.

  • Utilize FundApps to monitor and report beneficial ownership, short selling, and takeover panel disclosures in accordance with regulatory requirements.

  • Collaborate with Portfolio Management, Operations, Legal, and Compliance colleagues to resolve issues, support onboarding and change activity, and contribute to projects of varying scope and complexity.

  • Contribute to the maintenance and continuous improvement of portfolio compliance procedures, controls, and documentation, and provide guidance and knowledge sharing to team members as appropriate.

 

What You Bring: 

  • Mandatory hands-on experience in investment compliance rule coding within Charles River Investment Management Solution (CRIMS), supported by a strong understanding of system workflows, configurations, and key parameters.

  • Working knowledge of global regulations including UCITS, 1940 Act, and NI 81-102 etc. with the ability to interpret and translate regulatory requirements into compliance rules within monitoring systems.

  • Solid understanding of portfolio compliance monitoring processes, including interpretation of Investment Management Agreements (IMAs) and client guidelines.

  • 8+ years of relevant experience in the investment management industry, with at least 6 years focused on investment compliance and strong expertise in investment products.

  • Strategic mindset with strong facilitation, analytical, and data-gathering capabilities.

  • Strong problem-solving skills with high attention to detail and the ability to perform under pressure and meet tight deadlines.

  • A CFA qualification or a Bachelor’s degree in Business or Finance is preferred.

  • Strong verbal and written communication skills, with the ability to communicate and present effectively at the business level.

  • Proven ability to collaborate effectively within a team while also working independently and taking ownership of initiatives.

  • Highly self-driven, with strong organizational, prioritization, and time management capabilities, and the flexibility to adapt to evolving priorities.


#LI-HYBRID #LI-MP1 

For a closer look at how you can build your career with us, we invite you to explore cclgroup.com.  

CC&L Financial Group is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to gender, ethnicity, religion, sexual orientation or expression, disability, or age.  

Your application will be reviewed by a member of the hiring team - AI is not used in the screening, assessment or selection of applications at this time.  

 

 

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