Associate, Compliance

4 days left

Recruiter
TresVista
Location
Pune, Bangalore
Salary
As per Company standards
Posted
26 Aug 2021
Closes
25 Oct 2021
Ref
26082021
Job Function
Compliance/Regulatory
Certifications
CFA Charterholder
Employment Type
Full Time
Education
Masters

About Us Founded in 2006, TresVista has been the leading provider of high-end outsourced support for asset managers, entrepreneurs & corporates for over a decade. TresVista’s support functions include business plan development, all aspects of fund administration, portfolio management, valuation & research and deal sourcing & execution. With offices in Bengaluru, Mumbai, New York, Pune & Singapore, managing over $10 trillion in AUM, across geographies & asset classes and over 1,000 clients, TresVista delivers cost & operational efficiencies with dedicated teams across functions

The Role & Responsibilities

• Establishing and implementing contractual processes in compliance with laws, rules, and regulations

• Standardizing contracts across clients/industries to the extent possible

• Staying abreast of regulatory laws and ensuring compliance

• Providing clarification/ interpretations of guidelines to operational departments

• Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks

• Placing yearly, half-yearly reports before the SVP/MD on the compliance failures/ breaches by the operational departments & co-ordinate for rectification

• Drafting SOPs/ Policies from time to time for different processes

• Reviewing the client DDQs (Due diligence Questionnaire) and drafting responses to such client DDQs

• Reviewing the operational policies on annual basis and the work executed by the analysts

• Acting as a focal point on all matters relating to information security and disseminating regular information and advice when necessary to management and users

• Meeting and liaising with all the departments to understand & resolve their compliance concerns

• Reporting to the Head of Compliance about the team performance/ challenges and external audit matters on a weekly basis

• Liaise with the external vendors and drive the audits conducted by the external auditors

• Developing, Designing, Modifying and continually enhance the risk management strategy for the organization • Understanding the existing IT infrastructure and vulnerabilities associated with the IT, Admin, HR industry

• Recommending measures to address any risks or vulnerabilities, ensuring compliance with the specified standards or client mandates

• Conducting & reviewing organization wide internal audits & compliance-related audits across departments

Prerequisites

• Good exposure to Internal Audits/ IT audits and Risk Assessment

• Sound understanding of global compliance and legal requirements

• Excellent SOP drafting ability

• Strong eye for detail and excellent proofreader

• Excellent command over written and spoken English

• Hands on experience in handling a team

• Proficiency with Excel and PowerPoint

• Experience of working in Compliance/ Internal audit role with consulting firms, Investment Banking companies, Captives, 3rd parties

• Ability to work well under pressure with tight deadlines whilst delivering high quality and output Associate Compliance 

Experience

MBA/ CA with 2+ years of any experience OR Graduate with 3 to 5 years of relevant experience

Education

Any Graduate. Any Postgraduate or CA

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