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EY's Global Delivery Services (GDS) operates a worldwide network of service delivery centers, playing a crucial role in supporting EY's growth strategy. Established in 2002, GDS has grown to over 80,000 professionals across ten global locations, providing essential support to clients worldwide.

This role focuses on Investment Compliance within Wealth & Asset Management. You will be integral to ensuring adherence to investment guidelines and regulatory frameworks, requiring a keen eye for detail and strong client engagement skills. The position involves in-depth analysis and application of compliance rules across various financial products.

Perform comprehensive analytical reviews of investor and institutional investment guidelines. Interpret investment management agreements, prospectuses, and other relevant documentation. Schedule and lead annotation meetings with key stakeholders to finalize interpretations. Code and rigorously test client and regulatory rules on designated compliance platforms. Manage counterparty and broker setups, ensuring accurate trading and counterparty maintenance. Collaborate with operations teams to enhance data availability and quality. Review and integrate new data analytics to refine compliance platforms. Implement rules based on ratings agency requirements. Identify and resolve coding issues to prevent false positives. Maintain approved and restricted lists for legal and compliance purposes. Conduct periodic reviews of account coding for accuracy and consistency. Respond to ad-hoc queries from the compliance reporting team regarding portfolio adherence to investment guidelines. Analyze and mitigate operations risks by recommending procedural changes. Take ownership of decision-making, process optimization, and resource management to ensure efficient task execution. Supervise team members, assign tasks, and ensure they have the necessary resources and support for successful role performance and evaluation.

We are seeking an Investment Compliance professional with over 7 years of experience and deep expertise in rule coding, financial products, and regulations within Asset Management and Capital Markets. You will need a meticulous attention to detail to accurately capture compliance requirements and prevent errors, alongside strong client interaction skills to foster robust relationships.

Essential skills include expert proficiency with trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, or ThinkFolio. A solid understanding of the 1940 Act, UCITS Regulations, or ERISA is highly advantageous. You must possess strong analytical and interpretation capabilities to decipher client agreements and analyze post-trade compliance tests. Knowledge of various financial instruments is crucial for guideline coding and secondary research. Exceptional detail orientation is paramount due to the critical impact of oversight mistakes.

A fundamental understanding of portfolio management, the role of a portfolio manager, and key aspects of investment management is required. While certifications such as FRM, CFA, or CISI are preferred, they are not mandatory for this role. A Bachelor's degree is required, though no specific stream is mentioned.