- Execute and manage the audit assignments including performing fieldwork following the planned audit approach while delivering quality work in line Group standards
- Evaluate internal processes and controls, and prepare audit reports with value added recommendations to management and audit committees
- Seek implementation of audit recommendations within timelines & escalate overdue issues pending implementation
- Evaluate internal processes / controls and update risk registers
- Follow-up for implementation of controls for key risks within timelines & escalate overdue issues
- Review the existing risk framework and recommend changes to risk assessment / review / monitoring methodologies
- Have working knowledge of country specific Banking and Financial Services and Insurance operational regulatory compliance knowledge
- Independently manage compliance for BFSI operations (US/UK/Australia)
- Horizon scanning for regulatory change
Specifications
- Independent, analytical and positive mind, excellent inter-personal and communication skills, ability to deal with people in different levels including senior management
- Conversant with risk-based audit approach and conducting risk assessments
- Good presentation and report writing skills
- Command over MS Excel, Word and Power Point
Qualifications
The candidate should have following qualification or work experience:
- Working with Compliance team of US based BFS industry operators with 6-8 years work experience in:
- Federal, State and County banking regulations
- AML and Sanctions work experience including implementing a regulatory compliance testing program and sharing of outcomes based on the testing carried out
- Certification on US Compliance
Qualifications
LLB
Work location - Mumbai (Thane/Vikhroli)
You can drop me your CV at