Job Description

About TresVista TresVista is a global enterprise offering a diversified portfolio of services including investment diligence, industry research, business development, fund administration, accounting, and data analytics. We work with a wide array of clients including asset managers, advisors, corporates, and entrepreneurs. We currently have over 1,000 employees across offices in Mumbai, Pune, Bengaluru, New York, London and Singapore, and provide high-caliber support and operating leverage for over 1,000 clients across geographies and asset classes
The Role & Responsibilities: 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
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
Prerequisites: Sound understanding of auditing/compliance
Strong eye for detail
Good command over written and spoken English
Ability to meet deadlines and good time management skills
Proficiency in Excel and PowerPoint
Basic 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
Education: Any Graduate
Industry: Financial Services/Stockbroking

Skills Required