Urgent Requirement
ANALYST, COMPLIANCE – JOB DESCRIPTION
About TresVista:
• TresVista is a leading provider of high-end research, analytics and other customized financial services including valuation,
financial modeling, research, portfolio management, etc.
• Founded by 2 ex-Merrill lynch bankers
• Strength is ~450 people and growing its client and revenue base at 50%
• Strong global client base - Primarily Private Equity firms, Boutique Investment Banks, Hedge Funds, Asset Managers,
Corporates and Family offices
Responsibilities Assumed:
• Ensuring staff compliance with the compliance manual at all times
• Conducting staff compliance audits periodically as per the compliance calendar and maintaining the breach tracker
• Intimating the employees of their breach status and escalating it to the compliance head in case of a dispute
• Collecting evidence from the different process owners/ departments and validating their Self-audit questionnaires
• Designing monthly scores for such self-audit questionnaires and reporting to the compliance head for review
• Drafting SOPs and ensuring compliance to SOPs at all times
• Conducting Internal Audits across departments as per the audit calendar and preparing the draft audit report
• Preparing and maintaining the ATR (action has taken a report) and following-up with the process owners for the closure of ATR
points
• Staying abreast of regulatory/ international laws and ensuring compliance at all times
• Conducting compliance training sessions for new and existing employees periodically
• Providing clarification/interpretations of guidelines to employees/ users/ operational departments
• Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks
• Reviewing the SOPs on an annual basis
Prerequisites:
• Sound understanding of auditing/ compliance
• Strong eye for detail
• Good command over written and spoken English
• Ability to meet deadlines and good time management skills
• Proficiency in Excel and PowerPoint
• Basic understanding in Compliance/ Internal Audit role with consulting firms – upper mid-size/ BIG 4s or with leading
investment bankers, etc.
• Ability to work well under pressure with tight deadlines while delivering high quality and output
Candidate Qualification & Experience:
• Fresh Graduate 2017 and 2018 batch
Compensation:
• Commensurate with industry standards
Job Location:
• Hinjewadi, Pune
Interested candidates mail their RESUME at: sxcplacementcell@gmail.com by mentioning "FOR TRESVISTA"
Please save your RESUME FILE in YOUR NAME only
Last date: March 11, 2019
ANALYST, COMPLIANCE – JOB DESCRIPTION
About TresVista:
• TresVista is a leading provider of high-end research, analytics and other customized financial services including valuation,
financial modeling, research, portfolio management, etc.
• Founded by 2 ex-Merrill lynch bankers
• Strength is ~450 people and growing its client and revenue base at 50%
• Strong global client base - Primarily Private Equity firms, Boutique Investment Banks, Hedge Funds, Asset Managers,
Corporates and Family offices
Responsibilities Assumed:
• Ensuring staff compliance with the compliance manual at all times
• Conducting staff compliance audits periodically as per the compliance calendar and maintaining the breach tracker
• Intimating the employees of their breach status and escalating it to the compliance head in case of a dispute
• Collecting evidence from the different process owners/ departments and validating their Self-audit questionnaires
• Designing monthly scores for such self-audit questionnaires and reporting to the compliance head for review
• Drafting SOPs and ensuring compliance to SOPs at all times
• Conducting Internal Audits across departments as per the audit calendar and preparing the draft audit report
• Preparing and maintaining the ATR (action has taken a report) and following-up with the process owners for the closure of ATR
points
• Staying abreast of regulatory/ international laws and ensuring compliance at all times
• Conducting compliance training sessions for new and existing employees periodically
• Providing clarification/interpretations of guidelines to employees/ users/ operational departments
• Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks
• Reviewing the SOPs on an annual basis
Prerequisites:
• Sound understanding of auditing/ compliance
• Strong eye for detail
• Good command over written and spoken English
• Ability to meet deadlines and good time management skills
• Proficiency in Excel and PowerPoint
• Basic understanding in Compliance/ Internal Audit role with consulting firms – upper mid-size/ BIG 4s or with leading
investment bankers, etc.
• Ability to work well under pressure with tight deadlines while delivering high quality and output
Candidate Qualification & Experience:
• Fresh Graduate 2017 and 2018 batch
Compensation:
• Commensurate with industry standards
Job Location:
• Hinjewadi, Pune
Interested candidates mail their RESUME at: sxcplacementcell@gmail.com by mentioning "FOR TRESVISTA"
Please save your RESUME FILE in YOUR NAME only
Last date: March 11, 2019
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