Manager | Internal Audit | Gurugram | Internal audit

Manager | Internal Audit | Gurugram | Internal audit

• Job requisition ID : 114305

• Location: Gurugram

• Entity: Deloitte Touche Tohmatsu India LLP

The Team

Assurance is about much more than just the numbers. It’s about attesting to accomplishments and challenges and helping to assure strong foundations for future aspirations. Deloitte exemplifies what, how, and why of change so you’re always ready to act ahead. Learn more about Audit & Assurance Practice

Your work profile

• Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts’ guidelines;

• Support the Investment Guideline Look-Back Review Programme by coordinating with external professional services teams and internal stakeholders to facilitate the review of investment guidelines across client mandates and funds.

• Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended.

• Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams;

• Source, validate and provide relevant investment guideline documentation, including prospectuses, IMAs, regulatory requirements and related reference materials, to support the review and gap analysis process.

• Perform quality reviews of completed guideline interpretations and gap analysis outputs to support completeness, consistency and alignment with Fidelity's guideline interpretation standards.

• Support the maintenance and enhancement of the centralised investment guideline repository, ensuring reviewed interpretations, supporting evidence and project outcomes are appropriately documented and traceable to source materials.

• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in guideline interpretation and coding rules

Key skills required:

• CFA or Bachelor of Business or Commerce preferred

• Experience in Investment compliance guideline rule coding and interpretation is a must.

• Technology Savvy with experience in writing high quality, readable, reusable, and testable codes.

• Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage.

• 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products.

• Be a strategic thinker, possess strong facilitation and data gathering skills, Effective problem solver, attention to detail and ability to work to tight deadlines under pressure