Risk and Compliance Associate
6 months ago
Vacancy Name
- Risk and Compliance Associate
Vacancy No
- VN918
Employment Type
- Regular Full-Time
Location
- Chennai
Job Details
- Key
**Responsibilities**:
- Perform assurance reviews and periodic reporting, analysis of communication, trading activity, financial crime and any assigned compliance controls testing areas to ensure compliance with relevant policies and procedures;
- Inspect key compliance risk indicators in respect to financial promotion, complaints, order executions, and telephone recording arrangements;
- Identify and review potential key conduct risk issues and document the resolution/course of action;
- Work with Management team in supporting the AML, Communications and Trade Surveillance programs by reviewing alerts, risk indicators designed to detect potential control deficiency or misconduct;
- Continuously monitor process, control adequacy, technology stability and escalate issues and risks accordingly;
- Inspect communications (voice and electronic) to identify misconduct and potential misuse of information;
- Maintain detailed findings and identify patterns for escalation of significant compliance issues and violations via incident recording;
Must Have Qualifications
- 1-3 years of experience in internal or external audit/compliance/risk management/control testing experience, quality control /assurance/
- Experience in assessing risk, reviewing risk ratings, identifying controls gaps and determining the appropriate evaluation methodology.
- Understanding of AML/CTF, financial crimes and its regulatory framework
- Previous audit experience in a Big 4 or other top tier accounting firm an advantage
- Demonstrate strong analytical regulatory research skills
- Strong English communication skills
Hours: 40 hours/week - Monday to Friday; Fully working from the office - Indiqube Alpine (Transit) 7th Floor, Jawaharlal Nehru Road, Guindy Area - adjacent to Ekattuthangal Metro Station.- All Technementals Innovation India Private Limited employees must be eligible to work in India.
Prior to submitting your resume, the firm requests that you do the following:
Company Description
Tradu is a new multi-asset global trading platform and is part of the Stratos group of companies. Tradu, built by traders for traders, provides the most sophisticated traders with a serious platform that allows them to move easily between asset classes such as stocks, CFDs and crypto, depending on the regulations that govern the trader’s market.
Equal Opportunity Employer
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