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
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