Senior Associate - Compliance - BFS

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. TresVistas support functions include business plan development, all aspects of fund administration, portfolio management, valuation & research and deal sourcing & execution. With offices in Bengaluru, London, 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

- Developed SOPs for all major processes

- 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

- Reviewing the operational policies on an annual basis

- Acting as a focal point on all matters relating to information security and disseminating regular information and advice when necessary to management and users

- 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 compliance-related internal audits across departments

Prerequisites:

- Sound understanding of SOC II and ISO 27001

- Good exposure to Risk Compliance, IT Compliance & Contract Management

- Familiarity with the contract and corporate laws of the country

- Excellent command over written and spoken English

- Ability to meet deadlines and good time management skills

- Proficiency in Excel, PowerPoint and strong eye for detail

- Self-starter with a strong work ethic and high energy levels

- Ability to work well under pressure with tight deadlines while delivering high quality and output

Experience:

- 5-10 years plus experience of working in Compliance role with Investment Banking companies, Captives, 3rd parties

Candidate Qualification:

- University Degree (B.com/M.com)

- CA, PG CS, LLB Law

Compensation:

- Commensurate with industry standards