Industry : Business
Sub Department : Others - General
Department : Others - General
: Goregaon East
: Mumbai
: India
: 15 - 18 p.a (INR Lacs)
: 4 - 8 Year
US Shift (1:30 PM – 10:30 PM - IST),
The Compliance Associate will assist with the effective implementation and administration of compliance program with an emphasis on initiatives relating to the firm’s mortgagebacked
securities strategy. This position works closely with Investment Operations and Portfolio Management areas. This position proactively works with subject matter experts to identify and escalate compliance risks and achieve strong compliance results.
In addition, s/he will support the business in developing appropriate controls and procedures to mitigate business and product specific risks and primarily responsible for developing and performing compliance monitoring/testing of the business’s controls.
Primary Responsibilities:
• Responsible for the firm’s Code of Ethics administration through Ascendant Compliance Manager, including the establishment, dissemination and tracking of compliance certifications and the ad hoc review of potential violations
• Assist the CCO in the administration of firm’s compliance program, including management of the compliance calendar, oversight of recordkeeping and maintenance of policies and procedures
• Manage and facilitate the production of records for various firm audits and examinations, including but not limited to regulatory examinations, SOC1 and GIPS verification
• Prepare due diligence responses from potential investors along with questionnaires from current investors
• Review daily trading reports to identify any potential trading issues to escalate to senior Compliance management, and as necessary, individuals across the company including Portfolio Management
• Assist the CCO with the annual review process, including testing of policies and procedures to ensure compliance with such policies and internal controls
18, 38
Required Skills:
• Bachelor’s degree required
• 6-8 years of experience of compliance related experience at an SEC-registered investment adviser or other regulated financial institution
• Strong analytical mindset with an ability to synthesize data and quickly identify and resolve issues and with attention given to detail and accuracy
• Technical and professional skills or knowledge of testing methodology, risk and controls analysis
• Ability to lead and execute multiple projects (short and long term) and tasks independently, accurately and on time
• Experience with drafting, implementing and testing policies and procedures
• Excellent organizational, problem-solving, decision-making and time management skills
• Advanced proficiency with Microsoft Office Suite