Job Title
UCITS Regulatory Framework Specialist,29162
Location
Chennai (Work from Office 5 days)
Experience
79 Years
Shift Timings
UK / APAC / US (Rotational)
Interview Mode
Virtual Drive 17th Jan
(2 Technical Rounds)
Notice Period
015 days only (Strict)
Job Overview
We are looking for an experienced
Platform Control & Violation Management (PCVM) Team Leader to manage
Investment Restrictions Monitoring and Compliance Operations across global teams.
The role involves leading a high-performing team, ensuring strong compliance controls, overseeing guideline onboarding and violations, and partnering with investment desks and stakeholders across asset classes.
Key Responsibilities
Team Leadership & Oversight
- Lead and manage a global PCVM team handling investment restriction monitoring and violation oversight
- Ensure high-quality delivery of pre-trade advice, overnight monitoring, and issue escalation
- Review team output to maintain consistent quality and control standards
- Support mandate onboarding and guideline changes on the Aladdin platform
- Foster a collaborative, high-performance team culture
Process & Control Management
- Maintain and enhance compliance control frameworks
- Manage processing of source documents (IMAs, regulations, internal guidelines)
- Ensure queries are resolved within defined SLAs
- Identify control gaps and drive sustainable process improvements
Stakeholder Engagement & Projects
- Act as primary liaison with investment desks, product teams, and client stakeholders
- Represent the team during audits, regulatory reviews, and client discussions
- Participate in or lead initiatives related to new markets, instruments, or mandates
- Provide KPI reporting and support strategic compliance initiatives
Training & Development
- Oversee training and procedural documentation
- Coach and mentor team members
- Promote continuous learning and operational excellence
Must-Have Skill Set (Mandatory)- 58+ years of experience in Investment Management with strong exposure to Investment Restrictions Monitoring / Compliance Operations
- Hands-on experience with Aladdin (minimum 5+ years)
- Strong SQL proficiency for analysis and reporting
- Advanced Microsoft Excel skills (mandatory)
- Proven team leadership experience, managing global or multi-time-zone teams
- Solid understanding of:
- Fund structures
- Mandate lifecycle management
- Investment guidelines
- Strong knowledge of regulatory frameworks such as:
- UCITS
- SFDR / SDR
- MAS
- HK MPF
- Strong risk management, policy setting, and control assessment capabilities
- Excellent communication and stakeholder management skills
- High attention to detail, accuracy, and ability to meet tight deadlines
- Job stability is mandatory
Nice-to-Have Skill Set
- Experience in process automation, data analytics, or technology-driven improvements
- Exposure to performance and regulatory reporting
- Familiarity with IMAs, prospectuses, and legal client documentation
- Experience leading cross-functional projects or system migrations
- Knowledge of fund accounting, portfolio compliance tools, or risk monitoring frameworks
- Ability to identify and implement efficiency and risk-reduction initiatives
- Experience working with multi-jurisdictional compliance requirements
Mandatory Requirements
- Willingness to work 5 days from office (Chennai)
- Valid passport or acknowledgement of passport application
- Convocation certificate or acknowledgement (to be submitted within 30 days)
- Stable internet and laptop for virtual interviews
- Business formal / business casual attire for interviews
What We're Looking For
- Confident and inspiring people leader
- Analytical, organised, and detail-oriented professional
- Proactive problem-solver with a strong control mindset
- Collaborative team player with global exposure
- Committed to quality, governance, and continuous improvement
Skills: aladdin,sql,microsoft excel,investment restrictions monitoring,risk management,investment management,compliance operations
