Client Due Diligence & Compliance Professional
- Indus Valley Partners
- 3 - 5 years
- Noida, Gurugram
- 3 months ago
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Job Description
Key Responsibilities:
Manage DDQ/RFP Responses: Take ownership of the end-to-end process for completing client and prospect Due Diligence Questionnaires (DDQs), Requests for Information (RFIs), and Requests for Proposals (RFPs).
Content Management: Maintain and continuously improve our central repository of standardized DDQ responses, ensuring all information is current, accurate, and consistent.
Cross-Functional Collaboration: Liaise effectively with subject matter experts from various departments, including Information Security, Legal, Product Management, Engineering, HR, and Finance, to gather and validate information.
Documentation & Reporting: Log all incidents and actions taken in the ticketing system (Zendesk). Generate daily/weekly reports on alert trends and incident resolutions.
Root Cause Analysis: Collaborate with technical teams to identify the root causes of recurring issues and assist in implementing preventive measures.
Continuous Improvement: Provide feedback on monitoring tools and processes to enhance alert accuracy and reduce false positives.
Experience: 3-5+ years of direct experience in completing DDQs, RFPs, or in a related compliance, vendor management, or audit role.
Industry Knowledge: Prior experience within a FinTech, B2B SaaS, or financial services firm is essential.
Regulatory Familiarity: Strong understanding of key compliance and security frameworks (e.g., SOC 2, ISO 27001) and data privacy regulations (e.g., GDPR).
Communication Skills: Exceptional written and verbal communication skills, with the ability to distill complex technical and legal information into clear, concise language.
Project Management: Proven ability to manage multiple projects with competing deadlines in a fast-paced environment.
Technical Proficiency: Advanced proficiency in the Microsoft Office Suite (Word, Excel, PowerPoint)
Direct experience working with clients in the alternative asset management space (hedge funds, private equity).
Hands-on experience with DDQ/RFP management.
Bachelor s degree in Finance, Business Administration, or a related field.
Job Classification
Industry: Financial ServicesFunctional Area / Department: Legal & RegulatoryRole Category: Legal OperationsRole: Due DiligenceEmployement Type: Full timeContact Details:
Company: Indus Valley PartnersLocation(s): Noida, Gurugram
Keyskills: Ticketing Content management Project management Information security ISO 27001 Asset management Continuous improvement RFP Financial services Auditing
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Indus Valley Partners
ndus Valley Partners, an Award winning Technology Product Software & Consulting Organization focused on the Capital Markets Domain with clientele of large alternative Asset Managers, Proprietary Trading desks of banks and the Investment banks themselves. Founded in 2000 we have pioneered a globa...
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