Senior Associate

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Senior Associate – UK Compliance and Risk - Compliance Monitoring and Acquisitions

Job Summary
The incumbent shall be responsible for the timely execution of data led compliance monitoring to identify any potential non-compliance with policy/guidance or any potential regulatory breaches. This will include data sourcing, aggregation and analysis, performance of standardized compliance checks in line with pre agreed compliance procedures and rules, reporting and escalation of results.
 

Strategic Projects - The team supports Global Risk Management in rapidly deploying professionals on ad-hoc, outcome-based projects as well as acts as an incubator for new RM services. It is an extension of the onshore RM teams and helps in streamlining existing processes, onboarding new opportunities, designing end-to-end processes, and managing specific project activities.

Your key responsibilities

• Developing subject matter expertise to support the due diligence checks for the clients and suppliers before the acquisitions.
• Complete data management activity for the acquisitions including but not limited to:
  • Maintaining and adhering to the process schedule
  • Performing the required research and analysis in line with policy requirements to identify potential non-compliance in a timely manner
  • Integration plan action tracking and associated administration
  • Identifying any nuances, analyzing the probable cause & effect, and highlighting it to the stakeholders
  • Working with the team for further enhancements of the processes
  • Supporting the process documentation and ensuring process trackers are current and accurate
• Reporting:
  • Enabling the leadership reports using MS Excel, PowerBi and PowerPoint
  • Agility with large amounts of data, creation of presentations with ability to validate data accuracy by performing spot checks and reviews
• Supporting various compliance monitoring processes like (but not limited to):
  • Insider Trading
  • Modern Slavery
  • Consultant Lobbying
  • Client and Engagement Acceptance
  • Internal Admit Partner Risk Management Testing
  • Quality & Effective Risk Management assessment 

Essentials

• Graduates with at least 3 years of experience in:
  • Research/Compliance processes involving due diligence or file review / data review
  • Monitoring compliance with policies using Risk frameworks to perform risk assessments
  • Stakeholder interaction and management
  • Data analysis and data management
• Please note: Training will be provided to supplement existing experience
• Capable of identifying issues and analyze scenarios against policy requirements. 
• Absolute fluency in spoken and written English; excellent listening comprehension skills
• Experience with applications like MS Excel, PowerBi, Forms, SharePoint etc. 
• Prior experience in Risk Management compliance topics, such as, Insider Trading, Modern Slavery, Consultant Lobbying, etc. would be an added advantage
• Strong logical and reasoning skills with knowledge of Risk frameworks

Preferred 

• Ability to operate and flex in an ambiguous and changing environment to respond to emerging priorities.
• Experience of working as per deadlines and delivering high quality output & working in a fast-moving, global client-driven environment.
• Ability to work independently with well-developed problem-solving skills and understanding of processes. 

What you can look for

• A team of people with commercial acumen, technical experience, and enthusiasm to learn new things in this fast-moving environment
• A team which has its foundation in the core values of trust, respect, and teaming. The team which focuses on supporting its colleagues to excel in their respective domains and provides avenues to help acquire and demonstrate new skills
• Opportunities to work with Global risk management teams for strengthening the compliance framework 

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