Compliance Associate - Sustainable Infrastructure

Job Type - Permanent

Job Description :

- Review and monitor employee brokerage statements and social media for potential compliance breaches. Ensure timely submission of brokerage statements and new hire certifications.

- Update records for departing employees. Perform conflict checks and manage expert network communications. Handle compliance-related queries and coordinate with internal and external teams to meet regulatory requirements.

Client Details: Leading global investor in sustainable infrastructure.

Description:

- Review employee's quarterly brokerage statements working across various geographical locations and flag any potential personal trade breaches to onshore compliance team.

- Utilize internal compliance tools to ensure that brokerage statements are received prior to internal deadlines including sending employees reminders and flagging outstanding items to onshore compliance team.

- Screen and review social media handles of investment (deal) teams and capital partnering teams & flag issues to onshore compliance team.

- Ensure the new hires certifications are completed on time by employees & ensure their initial disclosures are up-to-date.

- Update the leavers status on the firm's compliance system and update records accordingly.

- Perform conflict checks on prospects list and expert network usage reports. Flag any potential issues to onshore compliance team.

- Manage and review high quantity of emails and calendar invites for expert networks to ensure record keeping is comprehensive.

- Manage high volume of transcripts and recordings of expert network calls to ensure records are complete and reach out to networks directly when records are missing.

- Work directly with third-party services to complete translations of expert network calls not conducted in English

- Co-ordinate with new brokers/dealers to setup direct feed transmission (Electronic Feeds) with firm's compliance system.

- Handle employee queries or queries from external parties such as family office, broker/dealers, system vendors etc.

- Work closely with the onshore compliance team on day-to-day compliance matters and to support the client team.

- Liaising with relevant internal and external teams to reflect regulatory requirements

- Managing ad hoc compliance tasks as required

Profile:

- Good level of education (degree or higher).

- Experience in working for a corporate compliance team

- Good at working with MS Office tools (Excel, Word, and PowerPoint).

- Prior experience working on Compliance Tools (i.e., My Compliance Office, STAR Compliance, ComplySci - PTCC) tool is a plus.

- Knowledge and understanding of fund industry - Private Equity preferred

- An understanding of corporate governance procedures

- Practical experience in applying policies and procedures

- Detail oriented and accurate

- Strong written and language skills

- Teamwork ethic

- Organised, self-motivated and able to demonstrate initiative

Job Offer:

- Potential career growth and development opportunities

- Competitive, based on market rates and candidate's experience

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Komal San at +91 124 628 9217.

Contact - Komal San - +91 124 628 9217

The Apply Button will redirect you to website. Please apply there as well.