Senior Consultant, Compliance Coder/Rule Writer/Investment Guidelines Specialist

• Part of MIG21 to CRIMS conversion Project which includes
Rule writing and Rule Testing in CRIMS.
• Responsible for Client deliverables.
• Responsible for New staff hiring
• Managing 2 teams consisting of 10 members.
• Perform Second review of compliance rules built by other team
members.
• Good Understanding of various Investment Guidelines, 1940
Mutual Fund Act, IRC, UCITS, Regional Regulations.
• Providing training on system solutions and rule syntax.
• Performing research and analysis of compliance results and
validating compliance breaches for accuracy.
• Advising data support teams of any discrepancies in a timely
fashion.
• Verifying Portfolios on a monthly, daily basis utilizing MIG21 Env.
• Investigate violations on the automated compliance monitoring
system.
• Well aware of CRIMS database tables – Support Rule writing
team with data pulled out using customized SQL queries.

* Migrated Pricing and Corporate action process from Singapore
to Gurgaon.
* Responsible to produce monthly MIS on the number of issues
resolved and the economic impact on key stakeholders and
taking responsibility for providing relevant MI to senior
management.
* Accountable to ensure that local deadlines are met and the
various market rules adhered to.




* Effectively Leading and managing the running of the daily BAU
functions, including:
- Ensured the controls, procedures, and supporting
documentation for the team are reviewed and maintained on
a regular basis.
- Conducted and maintain training with staff members.
- Took the lead in UAT for departmental initiatives and
projects and proactively suggested system enhancements to
improve team efficiency.
* Responsible to Communicate with on-shore teams - raising any
escalation items and participate in regular meetings.
* I act as an escalation point for both internal and external clients
to resolve any trade booking & pricing issues in a timely
manner.
* Responsible monitor, managing, and ensuring the team is
investigating and resolving any portfolio/trade discrepancies,
prioritizing and escalating accordingly in a timely manner.

* Focused primarily on Portfolio Compliance Rule writing and a
secondary focus on Stress Testing
* Business-side experience of Compliance BAU enables greater
communication with Compliance and Risk groups.
* Writing rules in CRD based upon existing Charles River setup
and client mandates, focusing on complex and conditional rules
relating to Fixed Income accounts, including Derivatives.
* Extensive experience of (SMF) workflow in Eagle Pace Dataware
housing tool and trade flow of different asset types in CRD IMS
Trade Settlement application for Equity and Fixed Income.
* Getting requirements from onshore and converting them into
technical documents for the Development team and converting
them again to business documents for client's post-development.
* Extensive experience working with offshore development teams,
thereby coordinating with onshore leads.