Analyst/Associate - Forensic Compliance

Analyst/Associate - Forensic Compliance - Compliance Operations

About the job

This role is open for any of these locations Bangalore/Pune.

Job summary

This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting risk assessments, deep-dive analysis, and fraud investigations. Core function of the team will include gathering data, performing analysis, documenting results, develop workplans and escalating to line compliance coverage.
One of the key responsibilities will be to play an integral part in addressing high-risk issues, operational challenges and mitigating potential risks. This role will help develop solutions for the clients by proactive compliance testing, policy revision/suggestion, implementation of policies and regulations and internal controls.

Key responsibilities:

Obtain an understanding of client’s business, applicable laws/regulations and identify potential compliance/reputational risks. proactive approach to mitigate potential risks.
Analyze policies, procedures, data, supporting documents and identify areas for forensic reviews and compliance testing.
Develop methods of testing internal controls, share gaps/observations with clients, execute the plans discussed and effectively escalate to chief compliance officer.
The role will require developing forensic tools (as necessary), stakeholder management, ability to multi-task and maintaining comprehensive documentation.
Propose ways to create efficiencies for identifying risks in a thematic way.
Work on time sensitive investigations and meet tight deadlines.
Stay abreast of regulatory developments and industry best practices to suggest improvements in the client’s process.
Develop good interpersonal relationship with the clients to get the best information and insights from them.
Undertake a variety of ad hoc tasks, as required.
Collaboration with Internal audit, legal and compliance teams.
Communication with cross functional teams and senior management.
Prepare reports, and MIS dashboards focusing on findings and recommendations.
Contribute towards preparation of compliance documentation/decks as prescribed by clients.

Qualifications/Skills:

Bachelor’s degree required: preferably in accounting, finance, law, business management or related field.
Strong understanding of regulatory landscape in US, UK, or APAC.
In-depth understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers.
Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.
Good understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc.
Practical knowledge on testing/investigations and audit methodology.
Demonstrate high-quality execution, judgement, and attention to detail.
Inquisitive mindset focusing on identifying risks and inefficiencies.
Strong communication skills – written and verbal.
Excellent time management and ability to multi-task.
Sense of intellectual curiosity, enthusiasm, integrity, and confidentiality.
Strong analytical and organizational skills.
Self-starter with ability to work effectively with minimal supervision.
Strong proficiency in Microsoft applications.

Preferred skills:

A professional qualification in risk management/fraud examination will be an added advantage. Experience with data/statistical analysis tools such as Power BI, Tableau etc.
Proven ability to work collaboratively with cross-geographical teams.
Excellent time management and ability to multi-task.

Experience:

1-3 years of experience in financial industry with strong expertise in internal audit/compliance such as those focusing on risk assessments.
Understanding of financial markets and financial instruments, including awareness of securities trading or trade life cycle.
Familiarity of Business Intelligence tools is a plus.

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