6 1940 Act Jobs nearby Madurai

As a member of the Investment Compliance team at Voya IM, your main responsibility will be to ensure investment policy compliance by checking investment restrictions against funds exposure. This role requires a strong analytical mindset and attention to detail. You will be responsible for reading fund prospectuses, investment policies, and investment policy statements to extract applicable investment restrictions. Additionally, you will need to understand and amend existing coded rules on the BlackRock Aladdin platform, as well as code new rules with testing to ensure accurate results. Your role will also involve routine review of existing clients" investment guidelines, implementing changes in compliance master, and investigating valid breaches to rule out invalid breaches for accurate delivery. Strong communication skills are essential as you will interact with various parts of the organization and develop efficient working relationships. To be successful in this role, you should have an undergraduate degree in accounting, finance, quantitative analysis, or business administration, along with 5 to 8 years of investment industry experience. Knowledge of Alladin rule coding platform, regulatory rules around 1940 Act and UCITS, asset class hierarchy, exposure calculation methods, and familiarity with platforms like Bloomberg, Aladdin, and PowerBI will be beneficial. Strong skills in Microsoft platforms and PC-based software are expected, as well as organizational, analytical, and quantitative skills. You should be adaptable to work in a challenging environment with varying workloads and strict deadlines. Maintaining strong working relationships with peers, supervisors, project leaders, and internal/external clients is crucial. A congenial and professional attitude is expected in this relatively flat organization. Flexibility to work in shifts is also required for this role at Voya IM.,

Role Overview: You will be responsible for handling various trademark related tasks including searches, oppositions, drafting and filing, renewals, legal proceedings, evidence collation, maintaining databases, coordinating with external stakeholders, supporting business and regulatory functions, conducting trademark due diligence projects, researching trademark case laws, approving artworks from a trademark perspective, and drafting, reviewing, and negotiating various agreements. Additionally, you will be involved in monthly data submission, preparing presentations, and working on designated projects. Key Responsibilities: - Conduct trademark searches and filings online - Draft and file oppositions, TM5 forms, renewals, and legal proceeding certificates - Collate evidence and file in a timely manner - Coordinate with external stakeholders such as law firms - Maintain in-house databases and ensure real-time data entries for trademark applications and renewals - Support business and regulatory functions with trademark filings - Conduct trademark due diligence projects for different regions - Research trademark case laws as needed - Approve artworks from a trademark perspective - Draft, review, and negotiate various agreements like CDAs, service agreements, POAs, LOAs, addendums, and vendor agreements at an administrative level - Submit monthly MIS data and prepare presentation slides for real-time statistics - Participate in project-wise activities as designated Qualifications Required: - 4-5 years of work experience in the industry - Experience and knowledge of trademarks online filings - Basic understanding of reviewing/drafting agreements like CDAs and service agreements - Proficiency in MS PowerPoint, Excel, and Word - Familiarity with the Trademark Act 1999 and Copyright Act 1957 - Knowledge of Legal Meteorology Act 2009 and Drugs and Cosmetics Act 1940 preferred,

Role Overview: As a Client & Investment Monitoring Analyst within the Investment Guideline Management (IGM) team at DWS, you will be responsible for providing support to ensure compliance with federal security laws and client-specific instructions. Your role will involve post-trade monitoring of investment and trading activities, rule implementation, and assisting in compliance with the Investment Company Act of 1940 and fund restrictions for institutional clients managed by the firm. Key Responsibilities: - Work with institutional advisory services, retail mutual funds, alternatives, and other investment products to assist in the client onboarding process and updating client investment guidelines - Process and research daily alerts to determine if there are valid guideline breaches by reviewing investment management agreements and data from Order Management and accounting systems - Communicate investment guideline breaches to portfolio managers and log them into a central errors and breaches database - Monitor open breaches to ensure timely resolution and client account reimbursement when applicable - Perform manual monitoring for rules that cannot be systematically programmed into the system and resolve escalated business-specific issues - Interface with internal and external contacts to resolve process discrepancies, escalate aging issues, and provide written commentary on outstanding open issues representing risks - Build strong relationships with the business, understand their needs and operations, and ensure functions are performed in compliance with business and regulatory requirements - Participate in departmental projects, initiatives, and ad hoc tasks as required Qualifications Required: - 0-3 years of experience in Financial Services, Compliance, or Regulatory background preferred - Ability to multitask, work under pressure, and adhere to internal policies and procedures - Excellent Microsoft skills, especially in Word and Excel; knowledge of trading systems and project management skills are a plus - Ability to function effectively in a large team environment, make sound decisions, and handle sensitive information with discretion - Professional and articulate with excellent interpersonal, oral, and written communication skills - Good organizational skills, ability to prioritize work effectively, demonstrate flexibility in handling multiple tasks, and make timely decisions Additional Details: Unfortunately, there are no additional details about the company provided in the job description.,

As part of Invesco, one of the world's leading independent global investment firms, you will have the opportunity to rethink possibilities for clients by utilizing our distinctive investment management capabilities. If you are seeking challenging work, intelligent colleagues, and exposure across a global footprint, Invesco is the place for you. **Role Overview:** You will be a part of the Center of Excellence (CoE) for Investment Compliance, providing vital assistance to the Global Investment Compliance (IC) function from the Hyderabad office. Your role will involve supporting EMEA, US, CA, and APAC IC teams in adherence to relevant regulations and fund-specific investment restrictions. Your expertise in IC-related skills such as rule coding, post-trade monitoring, and reporting will be crucial for this role to be effective. **Key Responsibilities:** - Review regulatory and client guidelines for accuracy and efficiency of existing rules coded or to code relevant rules on the order management system - Maintain rules on trading application like Charles River Development (CRD) - Prepare documentation to support reviews conducted and substantiate processes/controls in coding rules - Address compliance alerts related to trading strategies and technology/manual controls - Monitor compliance investment restrictions and identify breaches for rectification - Assist in resolving queries with regional compliance teams - Participate in ongoing review of processes and procedures for best practice - Support Analytics for Investment Compliance function to Executive Compliance Leadership - Conduct testing to ensure compliance with regulatory requirements - Collaborate with regional and global compliance teams for monitoring activities and controls - Act as a subject matter expert in resolving complex situations and mentor colleagues - Assist with Compliance-related projects and initiatives - Provide solutions to compliance issues as they arise **Qualification Required:** - Total work experience of 5-7 years, including 3-5 years of relevant experience in rule coding with an investment advisor or mutual fund group in a Compliance or regulatory environment - Strong knowledge and experience with Equity/Fixed Income/ETF Products, including UCITS Funds, Institutional Products, and 40 Act Funds - Experience with regulatory environments such as SEC, 1940 Act, NI 81-102 - Good written and verbal communication skills - Strong analytical skills - Attention to detail - Team player with the ability to work flexible hours - Proficiency in MS Office applications - Familiarity with trading systems and compliance components like Charles River, Bloomberg AIM, LZ Sentinel, or Aladdin In addition, you would be required to have a formal education of B. Com / M. Com / MBA / CA / Degree in Commerce/Finance to perform the job duties effectively. In Invesco, you will find a workplace model that supports our culture and client needs while providing flexibility valued by employees. We offer competitive compensation, flexible work arrangements, comprehensive benefits, and numerous development opportunities to help you thrive in a diverse and inclusive workplace. Join us at Invesco to make an impact, grow personally and professionally, and be part of a supportive and growth-oriented environment. As part of Invesco, one of the world's leading independent global investment firms, you will have the opportunity to rethink possibilities for clients by utilizing our distinctive investment management capabilities. If you are seeking challenging work, intelligent colleagues, and exposure across a global footprint, Invesco is the place for you. **Role Overview:** You will be a part of the Center of Excellence (CoE) for Investment Compliance, providing vital assistance to the Global Investment Compliance (IC) function from the Hyderabad office. Your role will involve supporting EMEA, US, CA, and APAC IC teams in adherence to relevant regulations and fund-specific investment restrictions. Your expertise in IC-related skills such as rule coding, post-trade monitoring, and reporting will be crucial for this role to be effective. **Key Responsibilities:** - Review regulatory and client guidelines for accuracy and efficiency of existing rules coded or to code relevant rules on the order management system - Maintain rules on trading application like Charles River Development (CRD) - Prepare documentation to support reviews conducted and substantiate processes/controls in coding rules - Address compliance alerts related to trading strategies and technology/manual controls - Monitor compliance investment restrictions and identify breaches for rectification - Assist in resolving queries with regional compliance teams - Participate in ongoing review of processes and procedures for best practice - Support Analytics for Investment Compliance function to Executive Compliance Leadership - Conduct testing to ensure compliance with regulatory requirements - Collaborate

As a Scientist B in the Ayush/Pharma Department at Farelabs Pvt. Ltd., your role will involve conducting analytical procedures in alignment with Ayurveda, Yoga, Siddha, Unani, and Homeopathic pharmacopeia of medicine for the Ayush section. For the Pharma section, you will be responsible for having complete knowledge of different pharmacopeia such as IP, USP, BP, and utilizing analytical procedures accordingly. Additionally, you will need to be knowledgeable about regulatory authorities like NABL, USFDA, TGA, MHRA, WHO, and DCA (drugs and cosmetic act 1940). Key Responsibilities: - Well-versed with analytical procedures for Ayurveda, Yoga, Siddha, Unani, and Homeopathic pharmacopeia - Knowledge of isolation and structure elucidation of phytochemicals - Familiarity with different pharmacopeia like IP, USP, BP, etc - Proficiency in handling instruments such as Wet Analysis, HPLC, dissolution, disintegration, and GC - Expertise in method development of Chemicals/active Pharmaceutical ingredients - Validation of methods as per regulatory guidelines - Providing scientific support for product development and improvement - Ensuring integrity of results, methods, raw data calculation, and logbook entries - Participating in Proficiency Testing, ILC, and internal quality checks - Conducting repairs of instrument breakdowns - Developing work instructions and SOPs for instruments - Assisting Quality Department in internal audits - Providing relevant training to new teams and customers - Hands-on experience with instruments like GC, HPLC, HPTLC, Spectrophotometer Qualifications Required: - M.Sc. in Chemistry/B. Pharm/M. Pharm - 2-4 years of experience in a relevant field - Ability to work in accordance with NABL, AYUSH, Drug Act, BIS, FSSAI, APEDA, EIC, IOPEPC, AGMARK, and other National & International requirements,

As a Compliance Analyst, you will play a crucial role in ensuring the effectiveness and compliance of the Global Compliance program. Your responsibilities will include: - Working closely with the Senior Compliance Manager to onboard and train new team members for the respective Center of Expertise (CoEs). - Collaborating with the Assessment and Testing team to develop testing protocols for various aspects of the compliance program. - Supporting regional and global compliance evaluations by continuously assessing the adequacy of policies and procedures. - Contributing to the development and execution of compliance testing, including periodic, annual, and forensic assessments. - Analyzing documents and reporting findings to the head of Assessment and Testing. - Engaging in discussions with control and process owners, internal and external auditors, and other relevant functions. - Coordinating documentation and responses for annual SOC 1 and other examinations. - Assisting in the preparation of comprehensive management reports. Qualifications: - Detail-oriented with strong organizational, formatting, and time management skills. - Excellent interpersonal and communication skills, including verbal, technical writing, and editing abilities. - Proficient in problem-solving, data analysis, and critical thinking. - Demonstrates a strong work ethic, accountability, and responsibility. - Collaborative team player with a keen interest in fostering global connections. - Possesses effective listening, probing, and integrity in client service. - Enthusiastic, adaptable, forward-thinking, self-motivated, and energetic. - Capable of working independently and collaboratively within a team environment. - Knowledge of global industry practices is advantageous. - Familiarity with regulatory regimes such as the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, MIFID, or similar frameworks. - Proficiency in critical-thinking, research, and social media tools. - Previous experience in audit or securities operations. - Review experience with investment management agreements, prospectuses, etc. Technical Qualifications: - Holds a Bachelor's degree, preferably in business, finance, or economics. - Advanced proficiency in Microsoft Outlook, Word, Excel, and PowerPoint. - Experience with Bloomberg AIM or other Order Management Systems.,