Analyst Compliance

4 days left

Employer
TresVista
Location
Pune/Mumbai/Bangalore
Salary
As per industry standards
Posted
Aug 26, 2021
Closes
Oct 25, 2021
Ref
260821
Employment Type
Full Time
Education
Bachelors

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, 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
• Ensuring staff compliance with the compliance manual at all times
• Conducting staff compliance audits periodically as per the compliance calendar and maintaining the breach tracker
• Intimating the employees of their breach status and escalating it to the compliance head in case of a dispute
• Collecting evidence from the different process owners/ departments and validating their Self-audit questionnaires
• Designing monthly scores for such self-audit questionnaires and reporting to the compliance head for review
• Drafting SOPs, ensuring compliance to SOPs and reviewing them on an annual basis
• Conducting Internal Audits across departments as per the audit calendar and preparing the draft audit report
• Preparing and maintaining the ATR (action taken report) and following-up with the process owners for the closure of ATR points
• Staying abreast of regulatory/ international laws and ensuring compliance
• Conducting compliance training sessions for new and existing employees periodically
• Providing clarification/interpretations of guidelines to employees/ users/ operational departments
• Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks


Prerequisites
• Sound understanding of auditing/compliance
• Strong eye for detail
• Good command over written and spoken English
• Ability to meet deadlines and good time management skills
• Proficiency in Excel and PowerPoint
• Basic understanding in Compliance/ Internal Audit role with consulting firms – upper mid-size/ BIG 4s or with leading investment bankers, etc.
• Ability to work well under pressure with tight deadlines while delivering high quality output


Education
Bachelor’s degree in any discipline


Experience
0 - 1 year


Compensation
The compensation structure will be as per industry standards

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