Compliance Analyst

Company Name VARITE India Private Limited About The Client An American multinational investment company recognized as the world s largest asset manager with AUM crossing 10 Trillion Headquartered in New York City Client has 70 offices in 30 countries and offers services to companies in over 100 countries Its software keeps track of investment portfolios for many major financial institutions and its Client s Solutions division provides financial risk management services Client is ranked 184th on the Fortune 500 list of the largest United States corporations by revenue Essential Job Functions Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks which includes Reviewing Employee Disclosures Examine employee disclosures of personal trading accounts and undertake necessary actions such as initiating feed set-up formalities account closure notifications and performing routine follow-up on outstanding items This includes account onboarding set-up formalities with employees and or brokers e g completion of feed set-up consent formalities managed account forms and updating trackers to ensure accurate tracking of outstanding in-progress volumes Reviewing Post-Trade Exceptions Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards This involves thorough analysis and documentation to ensure compliance with regulatory requirements Reviewing Employee Transactions Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team s review Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies Reviewing Terminated Employee Accounts Examine terminated employee accounts and ensure timely initiation of feed disconnection requests This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly Resolving Personal Trading Data Issues Resolve and reconcile any personal trading data issues such as mismatches in account numbers or incorrect security set-ups to address any data load errors This requires attention to detail and effective problem-solving skills to ensure data integrity Supporting the Employee Compliance Policy and Advisory Team Assist in reviewing team mailboxes to ensure timely allocation of employee queries requests based on the subject matter of the query email This involves prioritizing and categorizing queries to ensure efficient handling and resolution Reviewing Mailboxes for Employee Responses Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure progress on outstanding items This ensures that all actions are documented and tracked effectively Routine Follow-Up Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting This includes maintaining communication with employees to verify transaction details and ensure compliance This role requires a proactive approach to compliance management strong analytical skills and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes Qualifications Skills Prior experience in compliance risk management or a related field within the financial industry or operations background is advantageous Strong attention to detail analytical skills and problem-solving capabilities Ability to multi-task and prioritize across multiple projects and assignments must be able to deliver and meet timelines in a fast-paced global project environment Strong communication skills Education A relevant degree in finance law business or a related field is helpful but not a pre-requisite How to Apply Interested candidates are encouraged to respond submit their updated resumes and for additional job opportunities please visit Unlock Rewards Refer Candidates and Earn If you re not available or interested in this opportunity please pass this along to anyone in your network who might be a good fit and interested in our open positions VARITE offers a Candidate Referral program where you ll receive a one-time referral bonus based on the following scale if the preferred candidate completes a three-month assignment with VARITE Experience Level Bonus Referral 0-2 years INR 5 000 2-6 years INR 7 500 6 years INR 10 000 About VARITE VARITE is a global staffing and IT consulting company providing technical consulting and team augmentation services to Fortune 500 Companies in USA UK CANADA and INDIA VARITE is currently a primary and direct vendor to the leading corporations in the verticals of Networking Cloud Infrastructure Hardware and Software Digital Marketing and Media Solutions Clinical Diagnostics Utilities Gaming and Entertainment and Financial Services Equal Opportunity Employer VARITE is an equal opportunity employer We celebrate diversity and are committed to creating an inclusive environment for all employees We do not discriminate based on race color religion sex sexual orientation gender identity or expression national origin age marital status veteran status or Client ability status