Brookfield | Manager, Investment Compliance

Key responsibilities

• The Manager, Investment Compliance Operations role is responsible for day-to-day oversight of the compliance workflows and requirements for Brookfield Credit.
• This role will partner closely with the Investments, Legal, Accounting, and Operations teams to ensure that any compliance alerts or breaches are identified, researched, and resolved in a complete, accurate and timely manner.
• Provide oversight and review of the intraday and overnight batch compliance alert resolution process.
• Review monthly and quarterly client investment compliance reporting and attestations for accuracy and completeness.
• Develop and maintain processes and controls in consideration of internal and external auditing policies and procedures.
• Work closely with the Legal and Front Office teams to interpret and implement state, provincial and national insurance regulator investment guidelines.
• Work closely with the Legal and Investment Accounting teams to align asset classifications for more complex investments.
• Review and sign off on Quarterly Rule Review and Monthly Rule Audit.
• Identify areas of improvement within team procedures to drive efficiencies.
• Execute and deliver on internal team projects, reconciliations, and ad-hoc reporting requests.
• Presents information clearly and responds to questions effectively from various stakeholders

Requirements

• 5+ years of progressively responsible and relevant work experience at an investment bank, asset manager, insurance company or in the investment/financial services industry.
• Experience in implementing and managing complex investment projects, with an understanding of key legal/accounting/operational matters required.
• Experience with private, structured finance a plus.
• Proficiency in Microsoft Excel; exposure to Aladdin, Bloomberg, WSO, Clearwater, DUCO, Power BI, Power Query, or other data/reporting tools is an asset.
• Familiarity with insurance regulatory and statutory frameworks, including reinsurance treaties and agreements.
• Understanding of investment accounting practices and procedures.
• Experience with private asset operations and structured finance.
• Strong organizational and planning skills, with the ability to handle pressure and meet competing deadlines in a fast-paced environment.
• Experience in analyzing and interpreting business periodicals, professional journals and technical/operational procedures.

Brookfield

Brookfield is an employer hiring in India (sector: BFSI / Investments / Insurance). In its own words: "Brookfield is a leading global investment firm, investing on behalf of institutions and individuals around the world."

Its finance, accounts, audit and tax openings in India are mostly in Toronto and Brookfield Place.

• Industry: BFSI / Investments / Insurance