93+ Applicants
Posted: 1 week ago
2-7 years
Gurugram
work from office
Posted: 1 week ago
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Applicants: 93+
Job Description
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Job Description
Responsibilities:
- Understand and assess the implications of regulatory requirements for the ISS STOXX businesses and support the relevant implementation.
- Contribute to the ISS STOXX Compliance Management System (CMS) through a variety of activities, such as maintaining legal inventories, contributing to control testing activity and assisting with the mitigation of compliance findings.
- Perform risk-assessments
- Work with the business to review and test first line compliance controls and identify potential gaps
- Administer and formally record testing and monitoring items as part of the compliance program
- Draft and revise procedures / processes for new and existing second line controls
- Escalate issues proactively and timely
- Communicate with employees to gather information and resolve compliance violations.
- Properly document the review of surveillance findings in the compliance system and formally close out system alerts.
- Assist in regulatory and internal investigations.
- Assist with the coordination of the external audits (3rd line of defense).
- Develop and deliver compliance trainings to employees on material regulatory topics.
- Contribute in client due diligence requests.
- Work with the business and other relevant teams to provide accurate reporting to the ISS STOXX management and other stakeholders.
- Handle other compliance tasks and activity as the need arises.
Qualifications:
- Master s degree in Business law / Corporate Finance / Compliance with 2+ years of relevant work experience. Plus, to have: (comprehensive understanding of Investment and Securities is highly desirable).
- Experience in compliance or auditing with a registered investment adviser or equivalent experience at a financial institution desired.
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- Experience monitoring Code of Ethics reporting in an automated compliance system desired.
- Advanced knowledge of Microsoft Office Suite.
- Strong English skills.
- Ability to be proactive and follow up to resolve issues.
- Demonstrate sound judgment and apply logical and critical thought process.
- Excellent research and analytical skills.
- Excellent verbal and written communication skills.
- Strong organization skills and attention to detail.
- Ability to work flexible working hours
- High degree of professionalism and integrity with a demonstrated ability to handle confidential issues with maturity, tact and sensitivity.
Skills
Compliance ManagementRegulatoryInvestmentRegulatory ComplianceAuditingPhotoshopMicrosoft Office SuiteResearchComplianceRegulatory RequirementsIf an employer asks you to pay any kind of fee, please notify us immediately. Jobaaj does not charge any fee from the applicants and we do not allow other companies also to do so.
Important dates & deadlines?
Application Deadline
01 Apr 26, 04:03 PM IST
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