Job Role: Compliance Associate
Location: Gurgaon
PQE: 3+ years
Specifically, the Compliance Associate will:
- Perform tasks as assigned in accordance with the compliance program, including monthly, quarterly, and “as needed” tasks.
- Accurately document work performed to support conclusions reached including the identification of root causes for breaches of local law, regulation policy and/or internal control deficiencies.
- Conduct of email review oversight and target sampling.
- Manage weekly exception reports production and review.
- Interact with the customer on daily/periodic basis and reporting on the task as per defined timelines.
- Assist in the preparation and completion of an annual compliance risk assessment.
- Report to management both verbally and through written reports in Excel, Word, and PowerPoint by collecting, analyzing, and summarizing information.
- Escalate potential issues and exception items noted during the review process to management.
- Maintain and update internal as well as customer documents and compliance logs (e.g. compliance risk and control matrix).
- Organize and maintain the group’s document depository system.
- Perform adhoc compliance and legal tasks as assigned by the customer from time to time.
Experience:
- 3+ years of relevant experience.
- Demonstrate a fundamental knowledge of regulatory requirements in the financial services industry.
Skills for Success:
- Proven ability to work in a client-centric, deadline-driven environment.
- Strong PC skills, including extensive experience with MS Excel and MS PowerPoint.
- Ability to interact with the customer independently.
- Have good transition and project management abilities.
- Ability to present well on the phone and in virtual conference calls.
- Learn quickly and adapt to change quickly and understand how to make processes more efficient.
- Can write clearly and concisely, taking into consideration different audiences and attention spans.
- Strong analytical, organizational, interpersonal, verbal, and written communication skills.
Qualifictions:
- Bachelor’s Degree required.
- Exposure/Specialization in Compliance, Finance domain.
Apply here