About the organization:
TresVista is a provider of fundamental and data analytics to financial institutions and corporates. Founded in late 2006 by former Wall Street investment bankers and private equity professionals.
Strong global client base: primarily private equity firms, investment banks, hedge funds, asset managers, corporates, and family offices
TresVista is looking out for Analysts for their Compliance Department.
- Ensuring staff compliance with the compliance manual at all times.
- Conducting staff compliance audits periodically as per the compliance calendar and maintaining the breach tracker.
- Intimating the employees of their breach status and escalating it to the compliance head in case of a dispute.
- Collecting evidence from the different process owners/ departments and validating their Self-audit questionnaires.
- Designing monthly scores for such self-audit questionnaires and reporting to the compliance head for review.
- Drafting SOPs, ensuring compliance to SOPs and reviewing them on an annual basis.
- Conducting Internal Audits across departments as per the audit calendar and preparing the draft audit report.
- Preparing and maintaining the ATR (action taken report) and following-up with the process owners for the closure of ATR points.
- Staying abreast of regulatory/ international laws and ensuring compliance.
- Conducting compliance training sessions for new and existing employees periodically
- Providing clarification/interpretations of guidelines to employees/users/operational departments.
- Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks.
Number of vacancies:
Mumbai and Pune, Maharashtra, India
- Law Graduate
- Sound understanding of auditing/compliance.
- Good command over written and spoken English.
- Understanding in Compliance/Internal Audit role with consulting firms – upper mid-size/BIG 4s or with leading investment bankers, etc.
- Ability to work well under pressure with tight deadlines while delivering high-quality output
Commensurate with industry standards
How to apply?
To apply, click here.