Senior Associate - Compliance

Senior Associate of Risk and Compliance (INDUS)

Grant Thornton Advisors LLC is seeking a Senior Associate Risk and Compliance to work in the Office of the Chief Risk and Compliance Officer. In this role, the individual will report to the INDUS Lead and will work closely with the Risk and Compliance Manager and Director. They will assist with audit and monitoring key compliance processes, other tasks related to ad hoc projects led by the Compliance team.

Responsibilities

Audit and Monitor compliance processes

o Monitor and audit compliance data and information collected in support of activities and initiatives. (e.g., CPA licensing audit, monthly monitoring processes, perform Sanctions screening, Personal Conflicts of Interest and Disclosure review.

o Pro-actively audit processes, practices, and documents to identify weaknesses.

o Review compliance activities, monitor compliance mailboxes for activities and provide appropriate responses.

o Knowledge of Policies, legal requirements, and controls (e.g., Privacy, Conflicts, Gifts and Entertainment, Sanctions) will be an added advantage.

o Knowledge of Lexis Nexis and Compliance Management tools (Navex, One Trust) will be an added advantage.

o Identify key risks and proactively raise issues and risks to Senior Leadership

Managing Policies and procedure documents.

o Oversee and conduct the annual review of all Enterprise Policies on the tool, ensuring accuracy and compliance with internal standards.

o Collaborate with Sub-function leaders to facilitate timely review and approval of policies.

o Manage the internal intranet platform for hosting policies and working closely with Knowledge Management to maintain and update Policies effectively.

o Perform comprehensive annual and quarterly audits of internal intranet Policy page to ensure content accuracy and relevance.

Other Projects

o Work on Smart sheet to include key tasks for compliance team in the calendar.

o Manage the internal SharePoint site for the Compliance Team ensuring documents are aligned as per their relevant categories.

o Manage and work on any adhoc project related to compliance.

The ideal candidate is familiar with the professional services sector and related ethics and compliance activities; success driven and a team player.

Qualifications

Bachelor s degree in mathematics, engineering, or other quantitative discipline, or equivalent work experience

Proficient in Microsoft Word and PowerPoint, as well as advanced use of Microsoft Excel including pivot tables, lookups, and other analytics capabilities.

Excellent communications skills, both verbal and written, with all levels of a professional services organization are required.

Possess excellent relationship-building skills and drive outcomes through interactions with GT INDUS and GTUS professionals.

Ability to organize workload effectively and operate within tight timeframes.

Ability to work collaboratively, building consensus across multiple practices, departments, and offices

Ability to think critically and exercise good judgement to arrive at data driven recommendations and conclusions