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Analyst, Testing and Surveillance

Analyst, Testing and Surveillance

Ares India

1 - 3 years

3 - 6 Lacs

mumbai

Posted:6 days ago| Platform:

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Skills Required

career development interpersonal skills excel compliance analytical investment management financial services recruitment investment testing

Work Mode

Work from Office

Job Type

Full Time

Job Description

PRIMARY FUNCTIONS AND RESPONSIBILITIES
Perform and assist in ongoing compliance testing in all compliance areas, including inside information and safeguarding of material non-public information, code of ethics, code of conduct, conflicts of interest, marketing and advertising Conduct electronic surveillance and review supporting documentation to prepare detailed testing workpapers that substantiate findings and outcomes Identify compliance risks and control deficiencies, recommend corrective actions and enhancements based on test results Collaborate with Compliance professionals and other internal constituents in execution of testing of Compliance policies

QUALIFICATIONS

Education: Bachelor s degree preferred

Experience Required:
1 to 3 years of compliance and/or paralegal experience within the financial services industry Proficiency with Microsoft Office (Excel, Word, Teams, PowerPoint)

General Requirements:
Energetic, initiative-taking, coachable, detailed oriented and organized;

Ability to work in a fast-paced environment, overseeing multiple testing areas, demonstrating effective time/task management, and meeting deadlines
Solid written, verbal and interpersonal skills; Strong analytical and critical thinking skills; Creative, entrepreneurial, able to work in teams under high pressure and contribute to a collaborative environment; Resilient with ability to adapt to changing business priorities and emerging technologies; Invested in own personal development; Consistently pursues client experience excellence; and, Familiarity with Compliance platforms such as StarCompliance, ComplianceAlpha or Global Relay is an added advantage. Knowledge of the investment management and private fund industry, regulatory and compliance environment Strong organizational skills, attention to detail, knowledge and ability to direct client teams, and ensure delivery of quality work product. Ability to proactively establish, track, and achieve goals, projects, and tasks needed to ensure success.

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Analyst, Testing and Surveillance