Independence Compliance Associate 1

Essential Duties

• Supports the review and monitoring of personal independence tracking system and restricted securities lists
• Serves as a point of contact to respond and support firm personnel with inquiries related to the investment tracking system and point of contact to liaise between the firm and the vendor
• Participates in the overall Personal Independence Assessment (PIA) process including performing assessments
• Assists with monitoring and administrative tasks for Annual Independence Survey and New Hire Independence Survey
• Monitors shared personal independence compliance mailbox; responds to related inquiries; teams with personal independence compliance team to provide timely, effective service related to personal independence compliance matters for firm personnel
• Supports the personal independence team with other ad hoc requests including acquisition activity, reporting, and other tasks as assigned

EDUCATION/CERTIFICATIONS

• Bachelor's degree REQUIRED

TECHNICAL/SOFT SKILLS

• Proficiency with Microsoft Office (Excel, Word, Outlook)
• Ability to read and apply rules, regulations, policies and procedures
• Ability to evaluate information against a set of standards
• Ability to develop and maintain applicable professional and internal contacts, resources and networks
• Ability to maintain confidentiality and discretion with respect to internal information
• Exhibit high attention to detail

EXPERIENCE

• 2-4 years of experience in a compliance preferred
• Previous compliance experience in a professional services environment preferred

LEADERSHIP SKILLS

• Ability to communicate information clearly and concisely, verbally and orally to diverse audiences across the firm and to outside professional contacts
• Demonstrate passion, enthusiasm, and proactivity
• Ability to manage and prioritize multiple projects with various deadlines for multiple supervisors
• Ability to work both independently and within a team
• Proactive, self starting
• Willingness to learn in a fast paced environment

Location: Kolkata,Gurugram,Bengaluru,Hyderabad