• Monitor funds and separately managed accounts for compliance with regulatory requirements, investment objectives and strategies • Communicate in a clear, concise, organized, persuasive, and professional manner when engaging in discussions with portfolio managers and traders to work through issues • Conduct daily monitoring using the Bloomberg and engage in discussions with business partners and portfolio managers to develop monitoring parameters and resolve issues • Review and improve automated portfolio compliance controls designed to prevent and detect non-compliance with investment restrictions • Built, implement and maintain the models for portfolio managers to address the complex regulatory and technical issues related to derivatives strategies for hedging and non hedging purposes • Became a knowledge expert for the compliance programs under assigned ownership that include but not limited to Trading Allocation, IPO Approval, Manipulative Trading, Access Persons’ Personal Trading Program • Assist in drafting policies and guidelines to support the various compliance programs • Work effectively with all levels of staff across the Investment Management to drive compliance risk awareness, compliance risk mitigation strategies and a culture of compliance • Participate in department projects, independently representing the team in efforts involving other business units within the organization

• Supported the Investment Management, Sales, Marketing and Legal teams with monthly/quarterly/semi-annual fund reporting and ad hoc requests • Calculated performance of equity and fixed income portfolios at the manager/sector/country/security level • Performed portfolio attribution analysis and derivatives exposure reports • Calculated portfolio duration, standard deviation, sharp ratio, and other fundamental indicators to assess the various characteristics of portfolios • Measured the correlation of returns between the basket of securities and the derivatives to analyze the effectiveness of hedging strategies

Business Commerce, Finance/Accounting