Risk and Compliance Associate

3 days ago

Chennai Tamil Nadu, India Tradu Full time

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

  • Associate- Risk and Compliance

    5 days ago

    Chengalpattu, Chennai, Tamil Nadu, India Mitigata- Smart Cyber Insurance Full time

    !! Join Mitigata - Smart cyber insurance Team We are hiring a skilled professional with 1-3 years of experience in managing end-to-end ISO and PCI compliance processes. This is an in-person role based in Chennai. The role involves liaising with IT, security, and risk teams to ensure adherence to compliance standards, conducting concurrent audits, and...

  • Risk & Compliance Manager

    3 weeks ago

    Chennai, Tamil Nadu, India WPP Full time

    is the creative transformation company We use the power of creativity to build better futures for our people planet clients and communities Working at WPP means being part of a global network of more than 100 000 talented people dedicated to doing extraordinary work for our clients We operate in over 100 countries with corporate headquarters in New...

  • Governance, Risk

    3 days ago

    Chennai, Tamil Nadu, India Equiniti Full time

    Management Level G **Role Summary** The Junior Governance, Risk & Compliance Officer supports the P&E involvement in Audit, Risk and Compliance activities. **Professional Responsibilities**: - SFIA Responsibility Level: 1 - Follow - Governance: Follows the governance framework - Risk: Undertakes basic risk management activities. - Audit: Supports the...

  • Risk and Control Associate

    2 days ago

    Chennai, Tamil Nadu, India NatWest Full time

    Join us as a Risk & Controls Analyst - If you’re looking for a new challenge, where you can play a key role in preventing potential risks to our customers, this could be the ideal role for you - By liaising closely with a range of stakeholders, you’ll have an opportunity to raise your profile across the bank as well as a strong focus on personal...

  • Risk Compliance Manager

    5 days ago

    tamil nadu, India CIEL HR Full time

    About the Company A Leading Automobile Company About the Role We are looking for Manager / Senior Manager will be responsible for conducting thorough and impartial investigations into employee misconduct, harassment, whistleblower complaints, fraud, and vendor/supplier-related issues. This role requires strong analytical skills, discretion, and the ability...

  • Risk Compliance Manager

    6 days ago

    tamil nadu, India CIEL HR Full time

    About the CompanyA Leading Automobile CompanyAbout the RoleWe are looking for Manager / Senior Manager will be responsible for conducting thoroughand impartial investigations into employee misconduct, harassment, whistleblowercomplaints, fraud, and vendor/supplier-related issues. This role requires strong analyticalskills, discretion, and the ability to...

  • Associate, Compliance

    2 weeks ago

    Chennai, Tamil Nadu, India BNY Full time ₹ 6,00,000 - ₹ 18,00,000 per year

    Associate, Compliance & Control Representative IAt BNY, our culture allows us to run our company better and enables employees' growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough...

  • Operations Executive

    2 weeks ago

    Chennai, Tamil Nadu, India Compliance Mentorz Inc Full time

    Job description Job Title: Backend Operations Executive - Night Shift Company: Compliance Mentorz Location: Remote - Work from Home **Job Type**: Full-Time (Night Shift) About Us: Compliance Mentorz is a distinguished risk and safety consulting firm, dedicated to assisting organizations in achieving and exceeding regulatory compliance standards. Our...

  • Risk Compliance Manager

    4 days ago

    Chennai, Tamil Nadu, India, Tamil Nadu CIEL HR Full time

    About the CompanyA Leading Automobile CompanyAbout the RoleWe are looking for Manager / Senior Manager will be responsible for conducting thoroughand impartial investigations into employee misconduct, harassment, whistleblowercomplaints, fraud, and vendor/supplier-related issues. This role requires strong analyticalskills, discretion, and the ability to...

  • Compliance Excellence Associate

    5 days ago

    Chennai, India Flatirons Solutions Full time

    Flatirons Solutions is looking for a **Compliance Excellence Associate** in our **Chennai, India** office. Are you a leader passionate about driving business compliance to reduce loss of margins, loss of customers, loss of trust, and loss of business through the reduction of risks? Do you strive to raise the standards and ability for people and organizations...