Job Location: Mumbai
What is the Senior Compliance Specialist responsible for
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In general, this position will be responsible for assisting one or more Compliance Officers or their team members in carrying out the mission of the Regulatory Compliance Department. An individual in this position will be expected to develop expertise in Tableau or Alytrex or Python or similar applications and perform related tasks with minimal supervision.
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Further, the individual is expected to propose improvements to existing processes, and may play a key role in the implementation of new processes.
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The Sr Compliance Technology Specialist (CTS) is responsible for assisting Project Team with a variety of supporting activities like, project monitoring and control activities, drafting and maintaining project documentation, supports business requirements management, testing etc.
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The CTS works in conjunction with a Chief Compliance Officers/ relevant Compliance team member, project manager and business analyst and participates in the project implementation.
What are the ongoing responsibilities of Senior Compliance Specialist
- The CTS identified in this job description will be expected to support the below primary areas involving critical thinking and process improvements:
- Project manage and support the various technology initiatives in Regulatory Compliance and working closely with FTT Assess and analyse tools for process automation Support the preparation of Management Information packs in Regulatory Compliance Support the preparation of dashboards as required by the Compliance Officers
Project manage the various technology initiatives which would include:
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Coordinating with the technology team and the relevant compliance team member for data, testing etc
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Tracking the progress of the initiatives
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Preparing reports/ updates, underlying reference guides etc for the same
Assess and analyze process automation opportunities amp; tools:
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For the identified process, assess opportunities to automate the process
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Assess identified tools or application to understand its functionality and use cases that can help the Regulatory Compliance
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Work closely with VP Global Compliance in the above projects and in other related projects
Management Information and dashboard:
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Preparation of various Management Information reports required by Regulatory Compliance
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This could include data analytics reports/ dashboards
What ideal qualifications, skills amp; experience would help someone to be successful
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Bachelor degree or Associate degree with an emphasis on project management
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Knowledge and experience in Tableau is a must
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Experience in python, alytrex is a plus
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Approximately four years of relevant corporate experience.
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Directly related experience in compliance/ audit role for an asset management or financial services company a plus but not essential
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1-3 years of relevant project management/ business analysis experience required.
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Prior experience as a SME, business/technical resource involving analysis on small/medium projects, initiatives or production support efforts.
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Basic experience with application and user testing process.
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Familiarity with a system development lifecycle methodology Waterfall/ Agile
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Experience with process improvement preferred.
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Previous job history and training demonstrate:
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excellent research, comprehension, analytical and decision making skills
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professional skills necessary to independently manage multiple complex projects involving confidential and detailed information.
Strongly Preferred Knowledge and Skills:
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Current understanding of regulations, concepts, terminology, and processes applicable to the investment management industry
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Business insight regarding FTI organization, policies, fund products and systems a plus
Knowledge, Skills, And Abilities:
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Analytical Approach – Synthesizes ideas and information required for process improvement into a manageable form.
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Project Management – Describes the key objectives, phases and deliverables of a current project. Identifies project management tools and requirements within own function.
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Requirements Analysis – Knowledge of and ability to elicit, analyze and record required business functionality and non-functionality requirements to ensure the success of a system or software development project.
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Embracing Challenge – Knowledge of the issues and opportunities in complex situations and working with the team to work on those.
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Ability to work with limited instructions and in tight deadlines
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Knowledge of proper English usage, grammar, spelling, vocabulary and of generally accepted office practices, procedures and equipment
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Ability to communicate effectively both orally and in writing
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Professionally and confidently interact with all levels of internal and external contacts; establish and maintain productive working relationships, resolving conflicts and exchanging pertinent information to meet common objectives
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Ability to remain flexible and work under pressure
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Advanced knowledge of business desktop applications (i.e., Microsoft Word, Excel, PowerPoint, Access amp; Project, Windows, Visio, etc.) required
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Excellent planning, project management and progress reporting skills
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Ability to maintain confidentiality
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Ability to organize and prioritize workflow and to coordinate the work of others
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Ability to maintain updated knowledge of procedures, products and activities of assigned area
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Ability to perform multiple tasks in a fast-paced, team environment
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Strong administrative and organizational skills and ability to accept responsibility for final work product
Problem Solving And Decision Making:
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Works under general supervision and direction; participates in determining objectives of assignment; work is reviewed for accuracy and adequacy in meeting objectives; manages own activities in accomplishing objectives
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Solve problems of moderate scope and complexity, refers to policies and practices for guidance
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Exercise discretion and judgment in independently determining best course of action within scope of delegated responsibilities
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Initiate or recommend realistic solutions that are consistent with regulatory requirements and corporate guidelines and policies
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Plan, schedule and arrange own activities to efficiently accomplish objectives of multiple assignments within required timelines, resolving conflicts as necessary to accomplish goals
Physical Requirements:
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Work comfortably in an office setting using standard office equipment
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Maintain a competent, professional image
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