Sr. Associate - US Regulatory & Business Controls - Client Services - Asset Management

Location: Mumbai
Discipline: Banking & Finance, Risk & Compliance
Job type: Permanent
Contact name: Shweta Arora

Contact email:
Job ref: 37695
Published: 9 months ago

US Regulatory & Business Controls - Client Services - Asset Management


Looking for a professional with 8+ Years of experience preferably in US Mutual Funds operations, supporting internal / external audit and review process. The specific team is responsible for day-to-day servicing of institutional and other client accounts. The incumbent will be responsible for providing daily risk and control support and consultation on policies, procedures and potential issues that arise.


Location: Mumbai


Your future employer: A global leader in Investment Banking, Commercial Banking, Asset & Wealth Management with presence in 100+ countries.


Key responsibilities:

  1. Ensuring compliance with relevant regulations, policies, frameworks, and standards      to maintain an effective control environment

  2. Facilitating regulatory, audit and compliance exam requests impacting client accounts.

  3. Partnering with the Control Management team to execute with respect to control design, evaluation and issue management for operational risks.

  4. Developing, implementing, overseeing, and executing on control management programs that focus on key risks and evaluate the effectiveness of the controls


Key Requirements:

  1. A minimum of 5+ years of relevant asset management experience

  2. Bachelor's degree in a business / finance / accounting discipline preferred

  3. Broad based experience asset management. Knowledge of Institutional Client Services and applicable regulation that guides it such as SEC Investment Advisers Act, OCC, ERISA, etc.

  4. Auditing, process improvement expertise, etc., a plus.

  5. Demonstrable controls awareness experience (e.g. through working within an audit type role)

  6. Must be proficient in MS Office (Word, PowerPoint, Excel)


What's in it for you?

  • A high-performance culture with phenomenal career progression.

  • A stimulating working environment with colleagues from top-tier institutes.

  • A high-performance culture with phenomenal career progression.


Reach Us:

If you think this role is aligned with your career, kindly write me an email along with your updated CV on for a confidential discussion on the role.

Disclaimer: Crescendo Global is an ISO 9001:2015 certified Leadership Hiring consulting arm of Crescendo Group with expertise in mid to senior level niche recruitment. We are passionate about empowering job seekers and employers with an engaging memorable job search and leadership hiring experience. Crescendo Global does not discriminate on the basis of race, religion, color, origin, gender, sexual orientation, age, marital status, veteran status or disability status.

Keywords: Crescendo Global, Crescendo, Operational Risk, Regulatory Controls, Audit, Review, Regulatory Compliance, Mutual Funds, Asset Management.