Compliance Manager / Lead

Key Responsibilities :

• Preparation delivery of compliance review testing plan.
• Independently concludes on the effectiveness of controls through the review and monitoring.
• Communication of control issues and related recommendations to Operational management and respective team.
• Provide recommendations for finding rankings and effectively supports conclusions during discussions with business functions.
• Maintains proficient technical knowledge of highly complex business processes.
• Interprets the associated risks, develops testing approaches, and proposes solutions.
• Independently plans future assignments, including communicating effectively with Liberty Management.
• Leads staff through risk analysis, control identification, and audit program development. Identifies / proposes audit scope adjustments as needed.
• Monitor the internal audit / MOP / regulatory audit / statutory audit findings and ensure timely resolution of the issues in co-ordination with business function and auditors.
• Formulates and executes continuous process and organizational improvement direction and programs that enhance overall effectiveness; proactively seeks ways to improve compliance review process and department management processes.
• Coordination and completion of various regulatory audits and ensuring the implementation of the recommendations by various regulatory auditors.

Qualifications

CA

Skills Required

Compliance Testing, Risk Analysis, Process Improvement