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Compliance Associate

1.00 to 4.00 Years   Mumbai City   10 Jul, 2021
Institutional Shareholder Services Inc
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / Tax,Customer Service (International)
EmploymentTypeFull-time

Job Description

  • ISS Compliance department is looking to add a Compliance Associate to the team. The role includes on-going monitoring and assessment of firm-wide policies and controls, assisting with employee inquiries, and implementing a training regime for employees globally. The candidate must be able to work as part of a small team, be accountable, punctual, independent and have a strong attention to detail.

RESPONSIBILITIES:

This position will report to the Chief Compliance Officer. Key aspects include the following:

  • Undertaking internal compliance reviews, investigations, and reporting of findings.
  • Reviewing and maintaining policies, procedures, and practices to ensure the firm is in compliance with regulatory requirements issued by SEBI and other regulatory regimes.
  • Serve as compliance officer for the Mumbai office.
  • Identifying potential and actual violations of company policies and procedures through forensic testing.
  • Providing guidance on compliance policies and procedures to employees across the organization.
  • Developing and implementing periodic training for employees to ensure employee awareness of core compliance policies.
  • Coordinating with internal departments to address client inquiries, due diligence questionnaires, and requests for proposals.
  • This will be a highly visible role and requires a high degree of professionalism and integrity with a demonstrated ability to handle confidential issues with maturity, tact and sensitivity.

REQUIREMENTS:

  • Bachelor s degree in business;
  • Experience at a regulated stock broker, research analyst, or other regulated securities business, and/or experience with a securities regulatory authority.
  • Experience in delivering employee training and education;
  • Strong verbal and written communication skills;
  • Strong organizational skills and ability to manage multiple projects simultaneously;
  • High level of accuracy and attention to detail;
  • Independent initiative and critical thinking skills;
  • Willingness to travel; and
  • Knowledgeable in Microsoft
,

Keyskills :
compliancecompliance reportingfilingfund accountinggsthigh level of accuracymultiple projects simultaneouslydue diligencethinking skillsresearch analysisemployee trainingcritical thinkinginternal compliancecommunication skillswritten communi

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