Senior Compliance Analyst - BFS

Sr.Compliance Analyst

KEY RESPONSIBILITIES / DUTIES:

1. Monitoring of daily, weekly, monthly, quarterly reports.

2. Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet SEC/regulatory requirements and ensure compliance with all policies and procedures

3. Analyze the data and prepare documentation to support substantial share holding reporting to meet Americas regulatory requirements.

4. Knowledge of the regulatory requirements in US/North America regions and take action steps to meet all the compliance performance metrics.

5. Stay current of all regulatory changes related to reporting thresholds, reporting deadlines, updated/new disclosure forms to be used occurring in various regions (US/North America) and ensure to update procedures and applications to reflect the changes accordingly.

6. Interact with members of the global compliance and legal teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls

7. Perform daily activities in preparation of periodic regulatory filings, such as 13G,13F,13H and 13D reports.

8. Participate in Compliance related projects and responsibilities.

9. Assist in resolving queries with regional/global compliance teams

10. Work with global functional counterparts to ensure consistency of service delivery

11. Monitor new processes/functions and changes to existing processes and procedures

12. handle responsibility for ensuring consistent day-to-day production is achieved from team in Hyderabad

13. Engage in cross-functional initiatives, as required, to promote Continuous Improvement initiatives

14. Proactively seek and research solutions to compliance issues related to data issues, filling gaps in collating required details for monitoring and reporting as they arise.

15. Interact with members from global teams to assess, document, monitor and report as required.

16. Respond to basic, Intermediary and advanced/complex questions/queries from other teams independently and report to senior managers for escalation

WORKING TIMINGS:

Working timing will be 5.30pm to 02.30am (IST) however this could change from time to time as per process requirements.

WORK EXPERIENCE / KNOWLEDGE: 4-6 years of related work experience with investment advisor, mutual fund group or any financial service industry; preferably in Compliance or regulatory environment. Knowledge of financial products will be added advantage. Experience preparing and submitting compliance regulatory reporting is a plus.

SKILLS / OTHER PERSONAL ATTRIBUTES REQUIRED:

- Good communication and interpersonal skills

- Flexible and adaptable attitude with a strong emphasis on compliance with rules and regulations

- Problem solving

- Strong analytical skills and attention to detail

- Team player along with being an individual contributor

- Independent; the ability to take on responsibility as a team member

- Shall be open to work flexible hours

- Proficiency on MS Office suite of applications

- Expertise in MS Office including Excel and PowerPoint

- Ability to work under pressure, with tight deadlines, while maintaining high level of accuracy

FORMAL EDUCATION: (minimum requirement to perform job duties)

MBA or Degree in Commerce/Finance