Senior Analyst @ From August 2013 to Present (2 years 5 months) Compliance Surveillance Analyst @ • Perform reviews that are specifically designed for covering front office functions in relation to segregated, pooled and/or institutional mandates by undertaking a “risk based” and themed approach that address investment methodologies, dealing activities, preventative controls for market abuse. These include
Senior Analyst @ From August 2013 to Present (2 years 5 months) Compliance Surveillance Analyst @ • Perform reviews that are specifically designed for covering front office functions in relation to segregated, pooled and/or institutional mandates by undertaking a “risk based” and themed approach that address investment methodologies, dealing activities, preventative controls for market abuse. These include surveillance reviews of Front Office, Segregated and Pooled Fund monitoring and survaillence activities
• Other specialised reviews (for example purposes) cover side by side analysis, best execution for listed & OTC, cross trades, order priority & timeliness, restriction overrides, portfolio reviews (e.g. benchmark vs objectives) for all OEICs, SICAVs, Life funds, Investment Trusts and UCIT portfolios, etc. Based on risk scoring, these reviews would be carried out on a daily, weekly, monthly, quarterly or annually.
• Conducting portfolio reviews of all retail funds, OEICs, SICAVs, Life funds Investment Trusts and UCITS on all Equity, Fixed Income and Balanced portfolios. Individual tests are carried out for each fund, with their individual holdings being analysed against its
benchmark and objectives.
• Coding and reviewing compliance monitoring systems (e.g. LZ Sentinel, TRES, COMET) for capturing all client and regulatory guidelines with assistance from Front Office staff.
• Liaising with the business for maintenance of Banned, Restricted, Grey and Wall Crossing lists.
• Conducting Assisting with Gift and Entertainment reconciliations (e.g. inducements, FCPA), pre & post trade for PA dealings, cross trades compliance for restricted accounts.
• Responding to queries from traders and sales people about guideline/trading restrictions. From November 2011 to August 2013 (1 year 10 months) London, United KingdomCompliance Analyst @ • Providing compliance surveillance and certification of asset management accounts for client guidelines, regulatory requirements, and applicable policies and procedures. Products including U.S. registered mutual funds,, hedge funds, sub-advised products, separately managed accounts, and wrap accounts.
• Reviewing & assessing legal contracts, prospectus & other documents for analysis of portfolio restrictions, permissions and other related risks
• Executing ongoing Anti Money Laundering checks for GSAM clients.
• Devising risk policies, managing risks and implementing effective mechanisms to mitigate and control asset management risks.
• Performing adhoc surveillance activities for Asset Management & risk analysis for Goldman Sachs trading desks based in London, New York, Tokyo and Singapore
• Monitoring day to day transactions for possible Cross Trades and also assisting with Best Execution analysis.
• Assisting with Principal and Agency Trade restrictions and monitoring
• Evaluating and approving securities traded in an outside account on the basis of risk posed.
Monitoring brokerage accounts and analyzing and researching the cause of discrepancies and irregularities. From June 2008 to August 2010 (2 years 3 months)
Masters @ King's College London, U. of London From 2010 to 2011 Divya Jairaj is skilled in: Fixed Income, Financial Risk
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