Analyst Compliance

As per industry standards
26 Aug 2021
25 Oct 2021
Employment Type
Full Time

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

• 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

Bachelor’s degree in any discipline

0 - 1 year

The compensation structure will be as per industry standards

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