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What is the Compliance Automation Analyst responsible for?

• In general, this position will be responsible for assisting one or more Compliance Officers or their team members in carrying out the mission of the Regulatory Compliance Department.

• An individual in this position will be expected to develop expertise in Tableau or Alteryx or Python or Power BI similar applications and perform related tasks with minimal supervision. Further, the individual is expected to propose improvements to existing processes, and may play a key role in the implementation of new processes.

• The Sr Compliance Technology Specialist (CTS) is responsible for assisting Project Team with a variety of supporting activities like, project execution, testing, understanding the different functionalities, drafting reference guides (where applicable) etc. The CTS works in conjunction with a Chief Compliance Officers/ relevant Compliance team member, project manager and business analyst and participates in the project implementation.

• The CTS  identified in this job description will be expected to support the below primary areas involving critical thinking and process improvements:

• Support the various technology initiatives in Regulatory Compliance and working closely with FTT Assess and analyse tools for process automation Support the Compliance Surveillance framework Support the preparation of Management Information reports or dashboards in Regulatory Compliance#ASSOCIATE

What are the ongoing responsibilities of a Compliance Automation Analyst?

Support and actively participate in various compliance technology initiatives which would include:

• Coordinating with the technology team and the relevant compliance team member for data, testing etc

• Getting trained and become an SME on the

• Preparing reports/ updates, underlying reference guides etc for the same

Assess and analyze process automation opportunities & tools:

• For the identified processes, assess opportunities to automate the process

• Assess identified tools or application to understand its functionality and use cases that can help the Regulatory Compliance

• Work closely with Compliance team and other teams (as required) in such projects.

Support the Compliance Surveillance program:

• Analyze alerts triggered by the relevant tool based on data points

• Document the analysis, escalate or close the alters post review

• Discuss the escalation cases with concerned compliance officer/ team, as required

• Update reference guides

Management Information and dashboard:

• Preparation of various Management Information reports required by Regulatory Compliance

• This could include data analytics reports/ dashboards

• Support the Compliance team on various data extraction or analysis requests

Qualifications/Requirements:

• Qualification & experience – bachelor's degree in engineering; 3-5 years’ experience in Data analytics or process automation related fields

• Knowledge and experience in Tableau or Power Bi is a must

• Experience in python, alytrex is a plus

• Approximately four years of relevant corporate experience.

• Directly related experience in compliance department for an asset management or financial services company a plus but not essential

• Basic experience with application and user testing process.

• Familiarity with a system development lifecycle methodology – Waterfall/ Agile

• Experience with process improvement preferred.

• Previous job history and training demonstrate:

• excellent research, comprehension, analytical and decision making skills

• professional skills necessary to independently manage multiple complex projects involving confidential and detailed information.

• Skills in data analytics would be a plus

• Analytical Approach - Synthesizes ideas and information required for process improvement into a manageable form.

• Requirements Analysis - Knowledge of and ability to elicit, analyze and record required business functionality and non-functionality requirements to ensure the success of a system or software development project.

• Embracing Challenge - Knowledge of the issues and opportunities in complex situations and working with the team to work on those.

• Ability to work with limited instructions and in tight deadlines

• Knowledge of proper English usage, grammar, spelling, vocabulary and of generally accepted office practices, procedures and equipment

• Ability to communicate effectively both orally and in writing

• Advanced knowledge of business desktop applications (i.e., Microsoft Word, Excel, PowerPoint, Access & Project, Windows, Visio, etc.) required

• Excellent planning, project management and progress reporting skills

• Ability to maintain confidentiality.

Work Shift Timings - 11:00 AM - 8:00 PM IST