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Senior Analyst, Compliance

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.
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    Compliance Analyst • Mumbai