looking :Governance Risk and Compliance Services Associate :Asset mgt

Job Description

Hi all Greeting from Delight HR services we do have an excellent job opportunity for the position of Governance, Risk and Compliance Services Associate Asset Management Consulting with one of our esteem Tax advisory US based company Governance, Risk, and Compliance (GRC) practice is looking for an Associate to join our growing Asset Management Consulting (AMC) team. The GRC-AMC Associate is responsible for the execution of audit procedures, compliance implementation, and monitoring, as well as the completion of engagement objectives. They will take ownership of small projects under the supervision of experienced team members, while documenting and issuing client deliverables. The GRC Associate is curious, enthusiastic, and demonstrates a willingness to learn on a continual basis. The ideal candidate is deadline oriented, has strong interpersonal skills, and maintains professionalism. Weaver employees enjoy flexibility, meaningful and diverse client work, a supportive and innovative work environment, and many more benefits. The Associate will begin to develop an understanding of technical accounting literature within the GAAP and SEC hierarchies and is able to research issues and provide management with updates. They will learn and execute documentation in assigned areas and begin to demonstrate a familiarity with the Institute of Internal Audit (IIA) standards and the International Professional Practices Framework (IPPF). Additionally, the Associate will gain valuable exposure to and a comprehensive understanding of compliance requirements for U.S.-based investment advisors and asset managers. The Associate's projects primarily serve asset managers and registered investment advisers, focusing on compliance programs, surveillance, and support. As follows: Compliance Program Support: Provide support in developing, implementing, and maintaining compliance programs for registered investment advisers. Conduct annual compliance reviews, including monitoring and testing of the compliance program. Register clients as investment advisers. Prepare and submit annual and quarterly regulatory filings (e.g., ADV, 13F, 13H). Code of Ethics and Electronic Surveillance: Oversee the implementation and maintenance of electronic surveillance systems to ensure compliance with regulatory requirements. Develop, implement, and enforce the company's Code of Ethics in compliance with SEC regulations. Conduct regular reviews and updates of the Code of Ethics to ensure alignment with current laws and best practices. Collaborate with Directors and Managers to enhance surveillance systems and protocols. Monitor and review electronic communications to detect and prevent violations of the Code of Ethics. Investigate and resolve compliance breaches, providing recommendations for corrective actions. Stay updated on regulatory changes and ensure the company's surveillance practices are compliant. Prepare and submit reports on compliance activities and findings to senior management. Other Responsibilities: Compliance Rule Coders and testing on platforms such as BlackRock Aladdin Guideline Interpretation: Understand and interpret investment guidelines to ensure compliance. Rule Coding and Testing: Code compliance rules into the system and conduct thorough testing to ensure accuracy and functionality. Pre-Trade and Post-Trade Compliance Monitoring: Monitor trades to ensure compliance with regulations before and after execution. Investment Compliance: Oversee investment activities to ensure adherence to regulatory and internal guidelines. To be successful in this role, the following qualifications and skills are required: Bachelor's degree in finance, business, or a related field. Strong problem-solving and investigative skills, along with knowledge of ethical standards. Knowledge of the Investment Advisors Act of 1940. Thorough understanding of and experience with compliance program development and maintenance. Knowledge of Asset Management Industry, SEC Regulations, risks, processes and systems. This includes investments, compliance, middle and back-office operations. Strong research skills and attention to detail. Ability to multi-task across a range of projects with constantly shifting priorities. Team orientation and strong interpersonal skills Independent training and self-development, including researching and self-involving based on available resources. Fluent writing and verbal skills in English, including grammatical accuracy. Able to work flexible hours when key client or team meetings are needed. Proficient in Microsoft Office (Word, Excel, Outlook, Teams, PowerPoint) Additionally, the following qualifications are preferred: Masters degree in Business, Management Information Systems or Accounting CIA candidate, CISA (CPA preferred) Expertise in asset classes such as fixed income, equity, and derivatives. Schedule preference for G.M.T. to provide support for U.S. based managers. Seniority Level - Associate Industry Accounting/Advisory Employment Type - Full-time Job Functions - Accounting/Auditing/Compliance Skills - Project Management - Organization - MS Office - Interpersonal Skills - Problem Solving - Report writing Timing: 10AM to 8 PM Days : 5 days Hybrid mode Location: Bengalore And Chennai