Associate, Compliance
- Employer
- TresVista
- Location
- Pune, Bangalore
- Salary
- As per Company standards
- Closing date
- Oct 25, 2021
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Business or Knowledge Process Outsourcing (BPO / KPO)
- Certifications
- CFA Charterholder
- Employment Type
- Full Time
- Education
- Masters
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
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 output Associate Compliance
Experience
MBA/ CA with 2+ years of any experience OR Graduate with 3 to 5 years of relevant experience
Education
Any Graduate. Any Postgraduate or CA
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