Associate, Compliance

Pune, Bangalore
As per Company standards
26 Aug 2021
25 Oct 2021
Job Function
CFA Charterholder
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, 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


• 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 


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


Any Graduate. Any Postgraduate or CA

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