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Associate - Compliance - Investment Banking/Consulting Firm

2.00 to 5.00 Years   Mumbai City   21 Mar, 2023
Leading Financial Services Provider
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryEngineering / Construction
Functional AreaGeneral / Other Software
EmploymentTypeFull-time

Job Description

    Associate, Compliance - Opportunity with TresVistaRoles & 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 outputExperience : MBA/ CA with 2+ years of any experience OR Graduate with 3 to 5 years of relevant experienceEducation : Any Graduate, Any Postgraduate or CACompensation : The compensation structure will be as per industry standards,

Keyskills :
focal pointit auditenvironmental impact assessmentspoken english

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