Associate, Compliance

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...

Job OverviewKroll is a global leader in providing risk management solutions to clients. As a Compliance Risk Associate, you will play a key role in supporting the research and due diligence process within our Compliance Practice.Key Responsibilities• Conduct complex English-language research using various sources, including public records, commercial...

Description PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES Support the administering of the Corporate Compliance polices, including Code of Ethics and Conduct and Anti-Corruption policies;On a daily basis, respond to inquiries relating to gifts & entertainment, and screen lists of invitees to Ares-sponsored events;Assist in processing and...

The Compliance Department is a collaborative team that proactively supports Guidepoint's global business. The team identifies and addresses areas of risk and advises internal stakeholders on new business initiatives and variations on existing products and conducts compliance training of internal employees. These efforts have created a premier compliance...

About the Role: We are seeking an experienced Compliance Officer to join our team in Mumbai. As a Compliance Officer, you will be responsible for conducting audits of Authorized Persons (AP) of stockbrokers, ensuring compliance with SEBI and stock exchange regulations. The successful candidate will have a strong understanding of SEBI and stock exchange...

At Deutsche Bank, we're seeking a highly skilled Compliance Associate to join our team. As a key member of our Client Onboarding department, you'll play a critical role in ensuring the accurate and timely onboarding of clients while adhering to regulatory standards.The ideal candidate will possess strong communication skills, system knowledge, and experience...

Job DescriptionThird Bridge is a market-leading investment research firm. We provide integrated solutions for the worlds top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is the combination of human insights and unique investor-led...

Job DescriptionPosition OverviewAt Third Bridge, our Compliance framework is an integral part of our business and we are looking to hire a Compliance Associate dedicated to Third Bridge's Content department to join our Compliance team in Mumbai. Third Bridge content involves an array of interview formats with industry experts and transcripts of those...

Overview:Nextyn is seeking a meticulous and proactive Compliance Associate to join our team in Mumbai. The ideal candidate will have 1-2 years of experience in compliance within theexpert network industry.This role is crucial in ensuring that both Nextyn and our clients are protected from sharing of MNPI.Key Responsibilities :1.Compliance Monitoring and...

Job DescriptionThird Bridge is a market-leading investment research firm. We provide integrated solutions for the worlds top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is the combination of human insights and unique investor-led...

Job DescriptionPosition OverviewAt Third Bridge, our Compliance framework is an integral part of our business and we are looking to hire a Compliance Associate dedicated to Third Bridge's Content department to join our Compliance team in Mumbai. Third Bridge content involves an array of interview formats with industry experts and transcripts of those...

Overview: Nextyn is seeking a meticulous and proactive Compliance Associate to join our team in Mumbai. The ideal candidate will have 1-2 years of experience in compliance within the expert network industry. This role is crucial in ensuring that both Nextyn and our clients are protected from sharing of MNPI. Key Responsibilities : 1. Compliance Monitoring...

TIAA is dedicated to building a scalable and sustainable organization through innovation and technology. As a Compliance Associate, you'll be part of a team that works closely with US colleagues and other partners to reduce risk, improve efficiency, and develop innovative ideas.">Responsibilities:Provide second-line monitoring and oversight on business...

Company OverviewMangalam Placement Pvt Ltd. is a dynamic and reputable firm dedicated to delivering exceptional professional services with a strong focus on compliance, governance, and advisory services catering to a diverse clientele across industries.We are looking for an experienced and highly motivated individual to join our team as an Associate Partner...

Description Primary Functions and Essential Responsibilities Core Responsibilities Support the administering of the Corporate Compliance polices, including Code of Ethics and Conduct and Anti-Corruption policies; On a daily basis, respond to inquiries relating to gifts & entertainment, and screen lists of invitees to Ares-sponsored events; ...

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 supervision ...

**Company Overview:** CredAble is a leading player in the risk management industry, with a strong presence in Mumbai. We are committed to providing a comprehensive learning experience for our interns.As a **Risk Operations & Compliance Associate**, you will be responsible for preparing legal documents and gaining exposure to lending operations...

Description Primary functions and responsibilities   The Analyst will play a significant role in execution and supervision of the Investor KYC Process in line with AML-CTF Program requirements, inclusive of jurisdictional requirements and third-party fund administrator guidelines. The Analyst will be primarily responsible for review and analysis...

In a world of disruption and increasingly complex business challenges our professionals bring truth into focus with the Kroll Lens Our sharp analytical skills paired with the latest technology allow us to give our clients clarity-not just answers-in all areas of business We embrace diverse backgrounds and global perspectives and we cultivate diversity...

Job Description">As a Surveillance and Compliance Analyst Associate, you will play a critical role in ensuring operational discipline combined with regulatory risk awareness, investigative skills, and warrants that workflows are governed by established policies, clearly defined processes, and escalation points.">You will have responsibility for controls...