This job offer is not available in your country.

Senior Analyst, Compliance

H137 PineBridge Investments Capital India Private LimitedMumbai

18 days ago

Job description

MAIN RESPONSIBILITIES

The compliance analyst will be responsible for :

Working with the Senior Compliance Manager to facilitate onboarding and training of new team members locally for respective Center of Expertise (CoEs).
Working with the Assessment and Testing team to identify and develop testing protocols for all aspects of the Global Compliance program.
Working with the Assessment and Testing team, to support each region and the Global Compliance program to continuously evaluate the reasonableness and effectiveness of the advisers’ policies and procedures.
Assist with the development, implementation, and execution of different forms of compliance testing including periodic, annual and forensic.
Analyze documents and escalate report findings to the head of Assessment and Testing.
Participate in discussions with corresponding control and process owners.
Interact with internal and external auditors, the risk team and other control functions as applicable.
Assist with coordination of documents and responses for the company’s annual SOC 1 exam and all other relevant exams.
Assist with the preparation and development of effective management reporting.

QUALIFICATIONS

Be detail oriented with an emphasis on organization, formatting and time management.

Have strong inter-personal and communication skills, including verbal, technical writing and editing.

Exhibit problem-solving skills and be able to analyze data.

Have a strong work ethic, high standards, being able to take accountability and responsibility.

Be a team player and have an interest in building connections across the global firm.

Exhibit strong listening and probing skills.

Have personal integrity and be client service oriented.

Be enthusiastic, adaptable, forward thinking, self-motivated and energetic.

Be able to work independently and in collaboration with team members.

Global industry exposure a plus.

Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, MIFID or other adviser related regulatory regimes.

Good critical-thinking, research and social media tools familiarity is critical, as well as a sense of curiosity.

Audit or securities operations experience.

Experience reviewing investment management agreements, prospectuses, etc.

Technical Qualifications :

Bachelor’s degree, preferably in business, finance or economics.

Advanced knowledge of Microsoft Outlook, Word, Excel, PowerPoint.

Experience in Bloomberg AIM or other Order Management Systems.

Compliance Analyst • Mumbai