Compliance Associate

1 month ago


Mumbai, India Amherst Full time

Primary Responsibilities:

  1. Responsible for the firm’s Code of Ethics administration through Ascendant Compliance Manager, including the establishment, dissemination and tracking of compliance certifications and the ad hoc review of potential violations
  2. Assist the CCO in the administration of firm’s compliance program, including management of the compliance calendar, oversight of record-keeping and maintenance of policies and procedures
  3. Manage and facilitate the production of records for various firm audits and examinations, including but not limited to regulatory examinations, SOC1 and GIPS verification
  4. Prepare due diligence responses from potential investors along with questionnaires from current investors
  5. Review daily trading reports to identify any potential trading issues to escalate to senior Compliance management, and as necessary, individuals across the company including Portfolio Management
  6. Assist the CCO with the annual review process, including testing of policies and procedures to ensure compliance with such policies and internal control.


Required Skills:

  • Bachelor’s degree required
  • 6-8 years of experience of compliance related experience at an SEC-registered investment adviser or other regulated financial institution
  • Strong analytical mindset with an ability to synthesize data and quickly identify and resolve issues and with attention given to detail and accuracy
  • Technical and professional skills or knowledge of testing methodology, risk and controls analysis
  • Ability to lead and execute multiple projects (short and long term) and tasks independently, accurately and on time
  • Experience with drafting, implementing and testing policies and procedures
  • Excellent organizational, problem-solving, decision-making and time management skills
  • Advanced proficiency with Microsoft Office Suite

  • Associate Compliance

    2 months ago


    Mumbai, Maharashtra, India tresvista financial services Full time

    Apply for Associate, Compliance, Career Progress Consultants in Mumbai ,Pune ,Bengaluru/ Bangalore for 3 - 5 Year of Experience on

  • Associate Compliance

    3 weeks ago


    Mumbai, Maharashtra, India tresvista financial services Full time

    Apply for Associate, Compliance, Career Progress Consultants in Mumbai ,Pune ,Bengaluru/ Bangalore for 3 - 5 Year of Experience on

  • Associate Compliance

    2 months ago


    Mumbai, India tresvista financial services Full time

    Apply for Associate, Compliance, Career Progress Consultants in Mumbai ,Pune ,Bengaluru/ Bangalore for 3 - 5 Year of Experience on TimesJobs.com.

  • Associate Compliance

    3 weeks ago


    Mumbai, India tresvista financial services Full time

    Apply for Associate, Compliance, Career Progress Consultants in Mumbai ,Pune ,Bengaluru/ Bangalore for 3 - 5 Year of Experience on TimesJobs.com.


  • Navi Mumbai, Maharashtra, India Morningstar Full time

    **_Compliance Associate (eComm), _**_Monitoring & Testing, Sustainalytics & Indexes_** **Role: Compliance Associate** **Shift: General** **No of Position: 2** **The Team**: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. To assist in the responsibility, the Compliance Associate will interact with key...


  • Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...


  • Navi Mumbai, Maharashtra, India Morningstar Full time

    _Compliance Associate (eComm), __Monitoring & Testing, Sustainalytics & Indexes_**Role: Compliance AssociateShift: GeneralNo of Position: 2The Team:Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department.To assist in the responsibility, the Compliance Associate will interact with key stakeholders from Morningstar...


  • Mumbai, Maharashtra, India MoSahay Associate Full time

    The **Guest Service Associate (GSA)** is responsible for providing exceptional customer service to guests, ensuring their stay is memorable and pleasant. The GSA will handle all aspects of guest check-in and check-out, answer inquiries, and manage reservations. A background in hotel management is essential to understand the operational and service-oriented...

  • Compliance Associate

    2 weeks ago


    Mumbai, Maharashtra, India Nuveen Full time

    Compliance AssociateThe Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...


  • Mumbai, Maharashtra, India Third Bridge Full time

    Job Description Position Overview At Third Bridge, our Compliance framework is an integral part of our business; as such we are looking to hire an Audit Associate to join Third Bridge Audit Team in Mumbai. The main purpose of this role is to provide an internal audit of the compliance framework across products and international offices working...


  • Mumbai, Maharashtra, India TIAA Full time

    Associate - Compliance (Marketing Review)The Research and Marketing materials Quality Associate is an integral role that will perform monitoring and periodic spot checks in accordance with defined standards and stated requirements, and will assist in review, create Fact sheets and marketing materials ensuring compliance with local regulatory...


  • Navi Mumbai, India Morningstar Full time

    **Compliance Associate, Compliance Shared Services - Mumbai** **Why us?** Morningstar is a unique place. We live to help investors. We are devoted to helping everyone get over the human hurdles—lack of confidence, fear, greed, inertia, and the spend versus save mentality—that prevent people from achieving financial freedom. It’s what makes us proud to...


  • mumbai, India Third Bridge Full time

    Job Description Position Overview At Third Bridge, our Compliance framework is an integral part of our business; as such we are looking to hire an Audit Associate to join Third Bridge Audit Team in Mumbai. The main purpose of this role is to provide an internal audit of the compliance framework across products and international offices working...


  • Mumbai, India Third Bridge Full time

    Job Description Position Overview At Third Bridge, our Compliance framework is an integral part of our business; as such we are looking to hire an Audit Associate to join Third Bridge Audit Team in Mumbai. The main purpose of this role is to provide an internal audit of the compliance framework across products and international offices working...

  • Compliance Associate

    3 weeks ago


    Mumbai, Maharashtra, India TIAA Full time

    Associate - Compliance (Marketing Review) The Research and Marketing materials Quality Associate is an integral role that will perform monitoring and periodic spot checks in accordance with defined standards and stated requirements, and will assist in review, create Fact sheets and marketing materials ensuring compliance with local regulatory...


  • Navi Mumbai, Maharashtra, India Morningstar Full time

    Compliance Associate, Compliance Shared Services - MumbaiWhy us? Morningstar is a unique place. We live to help investors. We are devoted to helping everyone get over the human hurdles—lack of confidence, fear, greed, inertia, and the spend versus save mentality—that prevent people from achieving financial freedom. It's what makes us proud to tell our...

  • Compliance Associate

    2 months ago


    Navi Mumbai, India Morningstar Full time

    About the role: The Compliance Associate will report into the Global Head of Internal Controls, located in Compliance function of DBRSM. Job responsibilities: Main activity Others - Execute general monitoring activities in-scope and ensure timely and effective execution of each of the activities. - Ensure proper documentation of monitoring results for all...


  • Mumbai, Maharashtra, India Third Bridge Full time

    Company DescriptionThird Bridge was founded on the belief that human insights drive intelligent investment decisions.To make the right investment decisions, our clients require access to the most relevant experts and their insights - we enable this through private consultations and exclusive content drawn from expert interviews.Our clients consist of some of...


  • Mumbai, Maharashtra, India Third Bridge Full time

    Company DescriptionPlease be aware, this role is an entry level position and we will require you to be in our Mumbai office a minimum of 1 day a week.Third Bridge was founded on the belief that human insights drive intelligent investment decisions.To make the right investment decisions, our clients require access to the most relevant experts and their...


  • Mumbai, Maharashtra, India Third Bridge Full time

    Company DescriptionThird Bridge was founded on the belief that human insights drive intelligent investment decisions.To make the right investment decisions, our clients require access to the most relevant experts and their insights - we enable this through private consultations and exclusive content drawn from expert interviews.Our clients consist of some of...