Compliance Senior Associate

Description

Roles & Responsibilities (essential functions and responsibilities of the job) :

 Implement compliance testing framework, and methodology / checklists for compliance testing.

Contribute to improvement of the framework including aspects being reviewed and newer areas

to be included in the future

 Lead and perform compliance testing and other projects assigned to the Compliance team.

Supervise teams / managers and provides guidance.

 Evaluate and examine applicable guidelines / policies / SOPs for areas being reviewed to refine

testing attributes, identify unmitigated risks and suggest improvements

 Review testing sheets and backup documents to ensure they are in accordance with re-

performance standards and are updated in the central database.

 Track and follow up on progress of implementation of recommendations with key stakeholders

 Finalize exceptions and discuss them with concerned teams to agree on facts and way forward

 Provide suggestions w.r.t. improvements in guidelines / risk processes to mitigate exceptions /

improve existing processes and align it with stakeholders

 Independently prepare management presentation / deck summarizing work done in each testing

cycle for discussion with leadership.

 Develops relationships with key stakeholders and works independently in representing

Compliance lead in various forums / discussions.

 Identify and actively contribute to leading key initiatives for the function (such as leverage of

analytics, undertaking review of new areas, implementing tool for the function, etc.)

 Support the Compliance lead in quality reporting to the Senior leadership team in addition to

other functional roles such as project management, recruitment, trainings, etc.

 Develop a learning culture by coaching, counselling, and training team members by providing

objective support and supervision, sharing ideas / information / knowledge through strong

leadership skills.

 Contribute significantly towards building strong and effective awareness and consciousness

towards compliance requirements within the organization.

Education and Experience :

 Essential : Any Grad / Post Grad / CA / CIA / CS from a reputed institute, with prior experience in

Controls & Compliance or Internal Audit (3+ years)

Essential Skills :

 Ability to handle work pressure / deadlines and deliver consistent results

 Highly motivated and self-starter

 Excellent communication (written and oral) and interpersonal skills

 Proven ability to build, manage and foster a team-oriented environment

 Strong analytical skills and proven ability to work creatively and analytically in a problem-solving

environment

 Willingness to work independently without much upward / downward support

 Excellent leadership and management skills

 Curious, willingness to learn and contribute to functional / organizational goals.

Mandatory Skill Set- Internal Audit,SOX Compliance

Preferred Skill Set- Internal Audit,SOX Compliance

Year of experience required- 3+ years

Qualifications- CA

Education

Degrees / Field of Study required : Degrees / Field of Study preferred :

Certifications

Required Skills

Optional Skills

Desired Languages

Travel Requirements

Available for Work Visa Sponsorship?

Government Clearance Required?

Job Posting End Date