Asset Management-Vice President-Investment Guidelines

Bachelor’s degree required with around 8 years of professional experience in the financial services industry
Knowledge of operational aspects of an industry leading guideline monitoring platform like Sentinel, Aladdin, Charles River etc or related investment processes like trade management or liquidity management
Understanding of Equity, Fixed Income, Currencies and Derivatives
Ability to manage a team and to work in a global collaborative environment across regions including Bangalore, Dallas, London, New York, The Hague and Singapore
Strong communication and interpersonal skills both written and oral

Manage a team in Dallas that is responsible for post-trade guidelines exceptions monitoring, resolution and reporting
Partner with the AWM business for investment guideline related issues covering a range of client accounts and funds with the shared goal of risk mitigation
Perform daily portfolio and trading surveillance to ensure that AWM meets client stipulated guidelines and applicable regulations across all types of financial instruments and portfolio management strategies
Connect daily with the traders, portfolio managers, compliance and other internal functional areas of AWM in order to resolve client and regulatory investment guideline breaches
Conduct independent review of the rules created by the coding resources of the team
Provide monthly, quarterly and annual certifications of investment guidelines compliance to clients
Run programs that transform exception management systems, processes and workflows
Provide monthly reporting of metrics to senior leadership including insightful analysis of the processes

Experience working with Sentinel
Proven ability to drive consensus and implement high impact strategic programs in partnership with the business and engineering