Analyst - Compliance - Pune / Bengaluru

4 weeks ago


bangalore, India TresVista Full time

About TresVista

TresVista is a global enterprise offering a diversified portfolio of services that enables its clients to achieve resource optimization through leveraging an offshore capacity model. TriVista’s services include investment diligence, industry research, valuation, fund administration, accounting, and data analytics. TresVista has 1,500 employees across offices in North America, Europe, and Asia, providing high-caliber support and operating leverage to over 1,000 clients across geographies and asset classes, including asset managers, advisors, corporates, and entrepreneurs.


Key Role Deliverables:

▪ 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

▪ 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


Experience:

0-2 year


Education:

Any Graduate


Compensation:

The compensation structure will be as per industry standards



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