600 Investment Compliance jobs in India
Investment Compliance
Posted today
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Take a lead role in acquiring, managing and retaining meaningful relationships that deliver outstanding experience to our customers
**Job Summary**
As a Compliance Reporting Lead within our team, you will play a pivotal role in ensuring that client rules align with investment agreements and adapt to regulatory changes. You will act as a change agent, providing technical expertise for compliance projects and ensuring proper rule coding. Your role will involve developing innovative solutions tailored to client needs, maintaining and updating fund rules, and assisting in breach resolution. You will need to stay informed on industry practices and regulations, and focus on solving complex client requests, interpreting investment mandates, and coding rules. A strong understanding of financial instruments, including derivatives, is essential.
**Responsibilities**:
- Create, maintain and test logical rules automatically applied to the financial instruments owned by J.P.Morgan's clients
- Ensure that rules are established in accordance with the Client Investment Agreement and adapt them as needed based on regulatory changes.
- Serve as a change agent by providing technical expertise for key compliance reporting projects, offering a comprehensive view of rule coding and identifying any breaches.
- Understand and address specific client nuances to deliver appropriate and optimal solutions that meet their objectives.
- Maintain and update existing fund rules within the system, adapting solutions to meet the evolving needs of clients in a timely manner.
- Align client requirements with system capabilities and perform necessary maintenance on client accounts.
- Investigate breaches of investment guidelines with investment managers to assist clients in resolving issues, while staying informed about industry practices, product developments, and regulatory changes.
- Focus on solving complex technical requests for global clients, interpreting investment mandates to identify and code rules, and possessing or quickly acquiring knowledge of various financial instruments, including derivatives.
**Required Qualifications, Skills and Capabilities**:
- Degree in related technical area (such as Finance, Mathematics, Economics, Computer Sciences or Business) and experience financial instruments
- Coding or report writing experience, ideally with logic-based database systems
- Excellent financial market and instrument knowledge
- Compliance reporting product knowledge
- Excellent written and verbal communication
- Strong analytical, organisational and problem solving skills
**ABOUT US**
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
**ABOUT THE TEAM**
J.P. Morgan’s Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.
Investment Compliance - Senior Manager
Posted today
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Job Description
The focus of this role is primarily to support the conversion of investment compliance rules from legacy compliance system (MIG) to Charles River Investment Management (CRIMS), by performing user acceptance testing of the rules, identifying the issues in rule coding and getting those addressed to ensure the client migration from MIG to CRD is seamless.
Key Responsibilities & Experience
Primary Skills (Must Have)
About State Street
What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.
Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary in locations, but you may expect generous medical care, insurance and savings plans among other perks. You’ll have access to flexible Work Program to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.
Inclusion, Diversity and Social Responsibility. We truly believe our employees’ diverse backgrounds, experiences and perspective are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome the candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift program and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.
Discover more at StateStreet.com/careers
Head of Investment Compliance
Posted today
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Job Description
At Franklin Templeton, we’re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we offer opportunities not only to help you reach your potential but also to contribute to our clients’ achievements.
Come join us in delivering better outcomes for our clients around the world!
We are seeking a highly experienced and motivated Head of Investment Compliance to lead a dynamic team of compliance professionals. This individual will play a key leadership role in ensuring portfolio and trading desk compliance, driving strategic compliance initiatives, and engaging with senior stakeholders across the business. This position is critical to maintaining the integrity of our investment activities and will contribute directly to shaping the compliance culture within the organization#MID_SENIOR_LEVEL
What are the ongoing responsibilities of this position?
Lead, mentor, and develop a team of compliance professionals. Plan, prioritize, and align team objectives with departmental goals and ensure ongoing skill development.
Ensure compliance with investment mandates and trading desk procedures (trade allocation, errors, best execution, etc.) across funds.
Partner with internal teams including Senior Managers from the investment team, legal, regulatory compliance, risk, operations, and accounting. Act as a trusted advisor and provide expert compliance guidance across functions.
Oversee all regulatory filings and internal/external compliance certifications. Ensure timely and accurate reporting to SEBI, RBI, AMC Trustee Boards, and other regulatory bodies.
Manage compliance operations on platforms such as Quantis, Charles River, and Aladdin, including new account setup, rule implementation, and pre/post trade compliance monitoring.
Lead and participate in compliance-related projects, including system upgrades and new regulatory implementations. Provide strategic input and technical oversight.
Develop and deliver training programs to trading desks and investment teams, with a focus on evolving regulatory landscapes.
Identify compliance risks and develop proactive solutions. Continuously improve monitoring procedures, systems, and internal controls.
What qualifications, skills, and experience would help someone to be successful?
Minimum 15 years in the investment management industry, with at least 10 years in a compliance leadership role, with a focus on investment compliance.
Experience working with Indian mutual fund regulations (SEBI, AMFI) across asset classes including equities, fixed income, and derivatives.
Proven success in managing high-performing teams and handling complex compliance projects.
Bachelor’s degree in Accounting, Finance, or Business Administration (MBA is a plus).
Professional certifications such as CFA or FRM are highly desirable.
Strong knowledge of compliance systems (Quantis, Charles River, Aladdin).
Proficiency in MS Office and MS Project.
Excellent analytical, problem-solving, and decision-making skills.
Strong stakeholder management and interpersonal skills.
Ability to influence across levels and present complex ideas with clarity.
Demonstrated ability to balance strategic vision with operational detail.
Highly motivated, trustworthy, and independent.
Creative thinker with a proactive, solutions-oriented mindset.
Able to manage multiple priorities in a dynamic environment.
Committed to fostering a culture of compliance and continuous improvement.
Willingness to travel as required.
Job Level - Manager
Work Shift Timings - 9:00 AM - 6:00 PM IST
Experience our welcoming culture and reach your professional and personal potential!
Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.
By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have them covered.
Professional development growth opportunities through in-house classes and over 150 Web-based training courses
An educational assistance program to financially help employees seeking continuing education
Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee’s dependents (spouses, children and dependent parents)
Life insurance for protection of employees’ families
Personal accident insurance for protection of employees and their families
Personal loan assistance
Employee Stock Investment Plan (ESIP)
Annual recognition programme
Volunteer services and paid time off for volunteering
12 weeks Paternity leave
Located in the heart of Mumbai in the One International Centre, with spectacular views of the buzzing city
Walking distance of 100 meters from Western/Central railway station, accessible by road and local rail from all parts of the city
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.
Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to . In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.
Head of Investment Compliance
Posted today
Job Viewed
Job Description
About Our Client
Leading AMC player
Job Description
Lead, mentor, and develop a team of compliance professionals. Plan, prioritize, and align team objectives with departmental goals and ensure ongoing skill development.
Ensure compliance with investment mandates and trading desk procedures (trade allocation, errors, best execution, etc.) across funds.
Partner with internal teams including Senior Managers from the investment team, legal, regulatory compliance, risk, operations, and accounting. Act as a trusted advisor and provide expert compliance guidance across functions.
Oversee all regulatory filings and internal/external compliance certifications. Ensure timely and accurate reporting to SEBI, RBI, AMC Trustee Boards, and other regulatory bodies.
Manage compliance operations on platforms such as Quantis, Charles River, and Aladdin, including new account setup, rule implementation, and pre/post trade compliance monitoring.
Lead and participate in compliance-related projects, including system upgrades and new regulatory implementations. Provide strategic input and technical oversight.
Develop and deliver training programs to trading desks and investment teams, with a focus on evolving regulatory landscapes.
Identify compliance risks and develop proactive solutions. Continuously improve monitoring procedures, systems, and internal controls.
The Successful Applicant
Java Backend Engineer, Investment Compliance, Analyst
Posted 3 days ago
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Job Description
**About this role**
Are you passionate about building innovative backend technology that powers the global financial markets? Do you thrive in fast-paced, intellectually stimulating environments where you lead from the front and solve some of the most challenging problems in finance and technology?
At BlackRock, we are seeking an experienced Java Backend Engineering Lead to join our Investment and Trading Engineering team in Mumbai. This is a Vice President level role for professionals with 10+ years of backend development experience, with a strong track record of technical leadership, team building, and people management.
You'll be working at the intersection of finance and technology-on critical backend services that support global investment operations and trading workflows. We build distributed systems that are highly available, scalable, and secure.
What is Aladdin and Aladdin Engineering? You will be working on BlackRock's investment operating system, Aladdin, used internally and externally by major financial institutions. Aladdin integrates risk analytics with portfolio management, trading, and operations tools-empowering smarter decision-making and investment strategy execution.
As part of Aladdin Engineering, you will contribute to backend systems that manage trillions of dollars in assets and support millions of financial transactions each day.
**Being a member of Aladdin Engineering, you will be:**
+ Tenacious: Thrive in a fast-paced, highly complex environment.
+ Resourceful problem solver: Apply flexible, scalable solutions to challenging engineering problems.
+ Collaborative teammate: Communicate effectively and build strong partnerships.
+ Fast learner: Embrace new concepts quickly and mentor others.
**Responsibilities include:**
+ Architect and deliver scalable backend services in Java.
+ Contribute to Aladdin's global, multi-asset trading platforms.
+ Collaborate with stakeholders on roadmap definition.
+ Encourage engineering practices that prioritize testing during development.
+ Ensure high-quality code through code reviews and testing.
+ Foster a collaborative, inclusive engineering culture.
+ Be accountable for delivery and team development.
**Skills and Experience:**
+ 1-4 years of backend Java development experience.
+ Strong object-oriented and distributed systems design.
+ Experience with microservices, APIs, messaging systems.
+ Database expertise: SQL and NoSQL (PostgreSQL, Cassandra).
+ DevOps' familiarity and financial system background preferred.
**Qualifications:**
+ B.E. / B.Tech / MCA or equivalent from a reputed university.
+ 1+ years in backend development
**Our benefits**
To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.
**Our hybrid work model**
BlackRock's hybrid work model is designed to enable a culture of collaboration and apprenticeship that enriches the experience of our employees, while supporting flexibility for all. Employees are currently required to work at least 4 days in the office per week, with the flexibility to work from home 1 day a week. Some business groups may require more time in the office due to their roles and responsibilities. We remain focused on increasing the impactful moments that arise when we work together in person - aligned with our commitment to performance and innovation. As a new joiner, you can count on this hybrid model to accelerate your learning and onboarding experience here at BlackRock.
**About BlackRock**
At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being. Our clients, and the people they serve, are saving for retirement, paying for their children's educations, buying homes and starting businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.
This mission would not be possible without our smartest investment - the one we make in our employees. It's why we're dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.
For additional information on BlackRock, please visit @blackrock ( | Twitter: @blackrock ( | LinkedIn: is proud to be an Equal Opportunity Employer. We evaluate qualified applicants without regard to age, disability, family status, gender identity, race, religion, sex, sexual orientation and other protected attributes at law.
Walk-in Drive- Associate/Sr. Associate - Trade Surveillance - Investment Compliance
Posted 4 days ago
Job Viewed
Job Description
Please note we are accepting non- Trade Surveillance applications as well .
Date: 21st August
Time: 10:30 AM-4 PM
Venue: Acuity Knowledge Partners |
Embassy Tech Village 1, Building 2A, Phase 2, East Wing
Third Floor, Outer Ring Road, Devarabeesanahalli, Varthur Hobli
Bangalore East Taluk 560 103, India.
Job Purpose:
- Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system.
- The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client.
- The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions.
- Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minimal support of senior team members.
- The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster.
Professionals in this role will:
- Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc.
- Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades.
- Regularly monitor and understand current market conditions, regulations, and changes.
- Have thorough understanding of the client’s IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team
Functional Responsibilities:
- Working on daily exceptions.
- Preparing and updating the client SOPs as and when required.
- Identify gaps in existing process and suggest enhancements.
- Handle queries of junior team members and help them learn the process.
- Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team
Functional Competencies:
- Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc.
- Strong Microsoft Office knowledge is required.
- Experience in handling different exceptions of the Trade Surveillance modules
- Sound knowledge of the Bloomberg terminal and its different screens
Key Competencies Qualifications:
- MBA - Finance / CFA, Law, or Compliance related qualification.
- Capital Markets knowledge/NCFM certifications, preferred.
Experience: 3 - 7 years of experience in Trade Surveillance role
Mandatory - 4 days WFO
Behavioral Competencies:
- Team working
- Client Centricity
- Entrepreneurial
- Communication
- Clarity of Thought
- Self-awareness
Please drop your resume at
Walk-in Drive- Associate/Sr. Associate - Trade Surveillance - Investment Compliance
Posted today
Job Viewed
Job Description
Please note we are accepting non- Trade Surveillance applications as well.
Date: 21st August
Time: 10:30 AM-4 PM
Venue: Acuity Knowledge Partners |
Embassy Tech Village 1, Building 2A, Phase 2, East Wing
Third Floor, Outer Ring Road, Devarabeesanahalli, Varthur Hobli
Bangalore East Taluk 560 103, India.
Job Purpose:
- Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system.
- The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client.
- The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions.
- Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minimal support of senior team members.
- The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster.
Professionals in this role will:
- Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc.
- Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades.
- Regularly monitor and understand current market conditions, regulations, and changes.
- Have thorough understanding of the client’s IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team
Functional Responsibilities:
- Working on daily exceptions.
- Preparing and updating the client SOPs as and when required.
- Identify gaps in existing process and suggest enhancements.
- Handle queries of junior team members and help them learn the process.
- Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team
Functional Competencies:
- Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc.
- Strong Microsoft Office knowledge is required.
- Experience in handling different exceptions of the Trade Surveillance modules
- Sound knowledge of the Bloomberg terminal and its different screens
Key Competencies Qualifications:
- MBA - Finance / CFA, Law, or Compliance related qualification.
- Capital Markets knowledge/NCFM certifications, preferred.
Experience: 3 - 7 years of experience in Trade Surveillance role
Mandatory- 4 days WFO
Behavioral Competencies:
- Team working
- Client Centricity
- Entrepreneurial
- Communication
- Clarity of Thought
- Self-awareness
Please drop your resume at
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Walk-in drive- associate/sr. associate - trade surveillance - investment compliance
Posted today
Job Viewed
Job Description
Please note we are accepting non- Trade Surveillance applications as well.Date: 21st AugustTime: 10:30 AM-4 PMVenue: Acuity Knowledge Partners | Tech Village 1, Building 2 A, Phase 2, East WingThird Floor, Outer Ring Road, Devarabeesanahalli, Varthur HobliBangalore East Taluk 560 103, India.Job Purpose:Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system.The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client.The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions.Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minimal support of senior team members.The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster.Professionals in this role will:Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc.Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades.Regularly monitor and understand current market conditions, regulations, and changes.Have thorough understanding of the client’s IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance teamFunctional Responsibilities:Working on daily exceptions.Preparing and updating the client SOPs as and when required.Identify gaps in existing process and suggest enhancements.Handle queries of junior team members and help them learn the process.Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the teamFunctional Competencies:Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc.Strong Microsoft Office knowledge is required.Experience in handling different exceptions of the Trade Surveillance modulesSound knowledge of the Bloomberg terminal and its different screensKey Competencies Qualifications:MBA - Finance / CFA, Law, or Compliance related qualification.Capital Markets knowledge/NCFM certifications, preferred.Experience: 3 - 7 years of experience in Trade Surveillance roleMandatory- 4 days WFOBehavioral Competencies:Team workingClient CentricityEntrepreneurialCommunicationClarity of ThoughtSelf-awarenessPlease drop your resume at