Associate, Compliance & Control II
On-site · Maharashtra, India
Job Summary
Support day-to-day compliance and control efforts, assess whether areas comply with applicable laws and policies, monitor and report on established controls, implement new control procedures in response to regulatory changes, guide lower-level peers on procedures, review the quality of their work, compile data for reports, independently prepare management reports on compliance status, counsel business personnel on improvements, identify and address compliance issues, provide technical support for assessments of control effectiveness, and contribute to process improvements and team objectives.
Required Qualifications
- Bachelor’s degree or equivalent
- 3-5 years total work experience preferred
- Experience with Financial Services Industry regulations, compliance operations, or auditing preferred
- Experience with financial services compliance and/or assigned products, services, or business lines and relevant laws, regulations, and rules preferred
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