This job offer is not available in your country.
Compliance Operations-Control room and Chaperoning
Acuity Knowledge PartnersBengaluru, Karnataka, India30+ days ago
Job descriptionBeing proficient in all key compliance control room activities such as watch / restricted list maintenance, wall crossing, insider lists, information barrier, reconciliation of portfolio companies list against restricted trading list Responsible for the accurate and timely maintenance of the firm’s restricted trading lists in accordance with regulatory requirements and internal policies Acuitykp.com Maintenance of Conflicts tracker and assisting with deal flow coordination Support Hedge fund’s trading and portfolio management teams by conducting sector performance reviews, maintaining the trade blotters, and performing trade allocation reviews Managing and controlling access to data rooms Manage and oversee the approval process for expert calls, conducting post call reviews and live chaperoning Manage the onboarding of new vendors and conduct ongoing monitoring of the vendor portfolio Ensure compliance with regulatory requirements and internal policies and Identify cases of non- compliance Support client in high volume compliance task Create and maintain applicable standard operating procedures Ability to work independently and prioritize tasks effectively and manage multiple projects simultaneously in a fastpaced environment Adhere to client’s standard operating procedures, process workflows, and Acuity’s compliance standards Stay abreast of regulatory developments and industry best practices to suggest improvements in the client’s process Extensive interaction with client’s compliance team in supporting their needs Develop good interpersonal relationships with the clients to get the best information and insights from them Communication with cross functional teams and senior management Preparation of various MIS, dashboards, and other reports Bachelor’s degree required : preferably in accounting, finance, law, business management or related field Sound Knowledge of compliance control room, hedge funds and chaperoning Strong understanding of regulatory landscape in US, UK, or APAC In-depth Understanding of financial services industry predominantly asset / wealth management firms, investment banks, private equity firms and broker / dealers Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc. Good understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc. Strong research, analytical thinking, problem solving, and comprehension skills with ability to analyse and document large amounts of data Self-starter with ability to work effectively with minimal supervision Strong communication skills – written and verbal Strong proficiency in Microsoft applications A certificate in the financial market or products will be an added advantage Ability to work collaboratively with cross-geographical teams Excellent time management and ability to multi-task 2-4 years of total experience with strong experience in compliance predominantly in Control room and Chaperoning Understanding of financial markets and financial instruments, including awareness of securities trading or trade life cycle
Job Purpose :
This role is part of corporate and forensic compliance team and works closely with stakeholders for control room inbox coverage, chaperoning, hedge fund procedures, data room access administration and Vendor checks
- One of the key responsibilities will be to support and deliver the objectives of clients and ensuring that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations and all evidence is collected and preserved in a manner prescribed by the clients
Key Responsibilities
Key Competencies
Qualifications / Skills :
Preferred skills :
Experience :
Create a job alert for this search
And Compliance • Bengaluru, Karnataka, India
Related jobs
)
![AVP - Global Compliance Ops (Sanctions Tuning) [T500-12853]](https://cdn-logos.talent.com/v1/logo/image?feedcode=jobtraffic-in&company_name=MUFG)
- Promoted
LDAR & Compliance Scheduler (S&T)
ChevronBengaluru, Karnataka, India LDAR & Compliance Scheduler (S&T).The Chevron Engineering and Innovation Excellence Center (ENGINE) in Bengaluru India brings together the resources and expertise of the Chevron global network with...Show moreLast updated: 2 days ago
- Promoted
Aircraft Propulsion Systems Architect
HCLTechDevanahalli, Karnataka, India September, 2025,Saturday (9AM-2PM).Cessna Business park, Kaverappa Layout, Kadubeesanahalli, Bengaluru, Karnataka 560103.
Aircraft Propulsion Systems Architect for Engine Nacelles.Full lifecycle dev...Show moreLast updated: 10 days ago
- Promoted
OpenLink Endur Findur Operations Lead
KWA Analyticshosur, tamil nadu, in KWA Analytics is a global consulting firm delivering expert services across the trade lifecycle for clients in energy, commodities, shipping, treasury, central banking, capital markets, and asset / i...Show moreLast updated: 16 days ago
- Promoted
Lead Regional Compliance Specialist
Securitas GroupBengaluru, IN Lead Regional Compliance Specialist - APAC.India – open to Chennai / Hyderabad / Pune.We are a dynamic, dedicated team that provides management and support for a global guarding services account that s...Show moreLast updated: 28 days ago
- Promoted
RMS Technical Expert - OSAT
Tata ElectronicsKolar, Karnataka, India The RMS Technical Expert will be responsible for the design, deployment, and optimization of Reliability Monitoring Systems in an OSAT (Outsourced Semiconductor Assembly & Test) manufacturing envir...Show moreLast updated: 10 days ago
- Promoted
Compliance Operations-Control room and Chaperoning
Acuity Knowledge PartnersBengaluru, Karnataka, India This role is part of corporate and forensic compliance team and works closely with stakeholders for control room inbox coverage, chaperoning, hedge fund procedures, data room access administration ...Show moreLast updated: 30+ days ago
- Promoted
- New!
3 Days Left : Compliance Operations-Control room and Chaperoning
Acuity Knowledge PartnersBengaluru, Karnataka, India Job Purpose : This role is part of corporate and forensic compliance team and works closely with stakeholders for control room inbox coverage, chaperoning, hedge fund procedures, data room access a...Show moreLast updated: 2 hours ago
- Promoted
HR Compliance
Tata ElectronicsKolar, Karnataka, India Tata Electronics Private Limited (TEPL) is a greenfield venture of the Tata Group with expertise in manufacturing precision components.
Tata Electronics (a wholly owned subsidiary of Tata Sons Pvt.I...Show moreLast updated: 27 days ago
- Promoted
RMS (Reliability Monitoring System) Technical Expert – OSAT
Tata ElectronicsKolar, Karnataka, India Tata Electronics (a wholly owned subsidiary of Tata Sons Pvt.India’s first AI-enabled state-of-the-art Semiconductor Foundry.
This facility will produce chips for applications such as power manageme...Show moreLast updated: 9 days ago
- Promoted
Oracle R12 EBS SCM ASCP Consultant
Hexaware TechnologiesBangalore Rural, Karnataka, India Position Title : Oracle R12 EBS SCM ASCP Consultant.Location : Any Hexaware Locations.This position involves leading the implementation, configuration, and support of Oracle R12 SCM modules, Inventor...Show moreLast updated: 18 days ago
- Promoted
Reporting Leader (Big Data / MES)
Tata ElectronicsKolar, Karnataka, India Power BI, Tableau, and Grafana.Deliver multiple output format reports meeting OSAT customer needs.Develop portals for internal and external users to access reports with right level of access contro...Show moreLast updated: 10 days ago
- Promoted
Senior Compliance Specialist
CEShosur, tamil nadu, in Senior Compliance Analyst / Team Lead / AM / Manager and I think you could be a good fit.We are looking for 5+ years of experience in Compliance - Code of Ethics, I’d like to tell you a little more abou...Show moreLast updated: 21 days ago
- Promoted
Security Technology Lifecycle Analyst
HR PLACEMENT CONSULTANTS (HRPC)Bangalore Rural, Karnataka, India Position - Analyst - Security Technology Lifecycle Analyst.Job Type - Full-time (Third party payroll •).The Security Technology Lifecycle Analyst plays a critical role in supporting the Corporate Se...Show moreLast updated: 23 days ago
- Promoted
Senior JDE CNC Administration
HCLTechhosur, tamil nadu, in Project Manager / Technical Architect.Oracle Practice – JDE CNC Administration.Hands on experience as a CNC administration for.
Troubleshoot issues related to Citrix, WebLogic, AIS servers, and thir...Show moreLast updated: 21 days ago
- Promoted
AVP - Global Compliance Ops (Sanctions Tuning) [T500-12853]
MUFGBengaluru, Karnataka, India This position will be responsible for (1) threshold tuning, (2) optimization of rules tuning and existing filter platform to improve effectiveness and efficiency, (3) create and execute test cases ...Show moreLast updated: 30+ days ago
- Promoted
Associate Manager - EHS
LifeStyles HealthcareBangalore Rural, Karnataka, India We are looking at Candidates who has exposure to the following : .EHS compliance , hands on experience in handling ETP, PCB with 8 to 10 years work experience.
Senior Manager – Human Resources.Englis...Show moreLast updated: 30+ days ago
- Promoted
Document Controller
Krishna Global Services Pvt. Ltd.Bangalore Rural, Karnataka, India Support and assist regional project management teams to manage and control their documentation of customers and vendors, including proposals, product-related issues, and drawings / documents in a tim...Show moreLast updated: 2 days ago
- Promoted
OCI Admin
Tekgeminushosur, tamil nadu, in Experience Preferred : 2-3 Years.In-depth knowledge of OCI services and architecture, including Tenancy, VCNs, Compartments, Networking, Storage, Database, IAM, Security Groups, and Bastion Service....Show moreLast updated: 10 days ago
- Promoted
Compliance Lead
ResillionBangalore Urban, Karnataka, India Location : Bangalore (Hybrid mode).Resillion is the only Total Quality solutions company combining quality engineering, cyber security, conformance and interoperability, and content quality control....Show moreLast updated: 22 days ago
- Promoted
Hybrid - Infrastructure Ops Engineer JAMF
KPG99 INCBengaluru, Karnataka, India TITLE : Infrastructure Ops Engineer –JAMF PRO.Bangalore, IN (1b, Ecospace Internal Rd, Bellandur, Bengaluru, Karnataka 560103, India).
Key Areas of Responsibility include : .Manage and support Mac work...Show moreLast updated: 2 days ago