TresVista Financial Services Pvt Ltd

Analyst Compliance..

TresVista Financial Services Pvt Ltd
Not Disclosed
1-6 Years Full Time
Pune, Maharashtra, IN

Vacancy: 1 Posted: 3 years ago Applicants: 0
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Job Description

Roles and Responsibilities

  • Ensuring staff compliance with the compliance manual at all times
  • Conducting staff compliance audits periodically as per the compliance calendar and maintaining the breach tracker
  • Intimating the employees of their breach status and escalating it to the compliance head in case of a dispute
  • Collecting evidence from the different process owners/ departments and validating their Self-audit questionnaires
  • Designing monthly scores for such self-audit questionnaires and reporting to the compliance head for review
  • Drafting SOPs, ensuring compliance to SOPs and reviewing them on an annual basis
  • Conducting Internal Audits across departments as per the audit calendar and preparing the draft audit report
  • Preparing and maintaining the ATR (action taken report) and following-up with the process owners for the closure of ATR points
  • Staying abreast of regulatory/ international laws and ensuring compliance
  • Conducting compliance training sessions for new and existing employees periodically
  • Providing clarification/interpretations of guidelines to employees/ users/ operational departments
  • Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks

Prerequisites

  • Sound understanding of auditing/ compliance
  • Strong eye for detail
  • Good command over written and spoken English
  • Ability to meet deadlines and good time management skills
  • Proficiency in Excel and PowerPoint
  • Basic understanding in Compliance/ Internal Audit role with consulting firms - upper mid-size/ BIG 4s or with leading investment bankers, etc.
  • Ability to work well under pressure with tight deadlines while delivering high quality output

Skills Required: Consulting,OPERATIONS,Portfolio Management,Internal Audit,Compliance,Manager Internal Audit,Fund Administration,Business Plan Development,Audit Report


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