The Specialist 2 will support compliance efforts, monitor control procedures, advise on compliance status, and suggest process improvements while overseeing junior staff.
We’re seeking a future team member for the role of Specialist 2, Compliance & Control to join our Compliance team. This role is located in Pune.
In this role, you’ll make an impact in the following ways:
- Support day-to-day efforts related to assessing whether assigned areas comply with relevant laws, rules, regulations, and policies, ensuring control mechanisms are deployed as expected
- Assist with monitoring and reporting of established controls and implement new control procedures in response to regulatory changes or compliance issues under minimal supervision
- Suggest changes to improve work processes and guide lower-level peers on procedures, reviewing the quality of their work
- Research and collect data on compliance and control-related activities, compiling data into usable formats and conducting basic preliminary analyses
- Review and verify that activities align with overall control procedures and compliance strategy
- Independently prepare reports for management on compliance status and assign report development tasks to junior staff
- Counsel business personnel and management on compliance improvements and alignment with established controls and goals
- Identify and address compliance issues, interfacing directly with peers and escalating complex issues as needed
- Provide technical support for assessments of control effectiveness and produce data to support risk-based reviews of regulatory requirements
- Recommend process improvements and contribute to team objectives
To be successful in this role, we’re seeking the following:
- Bachelor’s degree or equivalent combination of education and experience
- 3-5 years of 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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