TresVista - Associate - Compliance - Investment Banking/Consulting Firm

Associate, Compliance - Opportunity with TresVista

Roles & 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

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

Compensation : The compensation structure will be as per industry standards