Compliance - Compliance Testing - Associate

Overview

Compliance Testing Associate role supporting annual compliance reviews and related regulatory requirements in the Compliance Department.

What you'll do

• Support compliance testing, including annual compliance reviews under specific U.S. Investment Company and Investment Advisers rules.
• Coordinate with internal teams on requests for information and documentation.
• Perform preliminary reviews and analyses of information and documentation.
• Maintain an organized framework to track request and review/approval status.
• Assist with ad hoc compliance projects.

What you'll need

• 3–5 years of compliance experience in a financial services role.
• Undergraduate degree (BA or BS).
• Knowledge of U.S. federal securities and commodities laws including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Commodity Exchange Act.
• Ability to work independently and within a team.
• Excellent oral and written communication skills for cross-department collaboration.
• Proficiency in the Microsoft Office suite.

Details

• Location: Bengaluru.