Associate - Compliance - BFSI

About TresVista:

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 proof reader

- Excellent command over written and spoken English

- Hands on experience in handling a team

- Proficiency with Excel and PowerPoint

- 4- 6 years- 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

Experience: 4-6 years of work experience

Education: Any Graduate. Any Postgraduate

Compensation: The compensation structure will be as per industry standards