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Compliance Testing

Compliance Testing

ConfidentialMumbai
30+ days ago
Job description
  • The role holder will be required to support Senior Managers in assessing the effectiveness of assigned financial crime and / or regulatory compliance controls, identifying and raising issues where control gaps lead to material unaddressed financial crime and / or regulatory / conduct risks.
  • At a high level, the role holder will be responsible for the following :
  • Customise and localise standard test scripts and then evaluate assigned controls for design and operating effectiveness, raise issues as appropriate.
  • Ensure that assigned control assessments are accurate, effective, abide by internal procedures and templates, and meet quality control requirements.
  • Ensure that assigned control assessments are delivered on time, in accordance with the assessment plan.
  • Supervise the delivery of assigned control assessments using experience and knowledge to intervene and redirect testing as required, resolving or redirecting escalations as required.
  • Manage control owners and other stakeholders, ensuring the success of each assigned reviews, minimising contention where possible and requesting support where deemed necessary.
  • Manage the documentation of distinct control types, covering key aspects, such as remit, main processes and handovers to other teams.
  • Ensure that issue owners complete sufficient root cause analysis for all material issues and have appropriate remediation plans in place.
  • Develop and motivate the testing specialists through coaching and on-the-job training, ensuring the successful delivery of assigned control assessments.
  • Support the Senior Managers in fulfilling their CTU responsibilities as required, including planning forthcoming reviews, drafting issues, contributing to the development of procedures and templates.
  • Determine innovative ways of testing controls in a precise and efficient manner, harnessing analysis of data where possible.
  • Be attuned to the political, management, operational, regulatory and reputational implications of particular decisions and courses of action. Managing the demands of the multiple and diverse aspects of the role.
  • Assist management in development of controls and systems and influencing the way in which business is conducted in order to manage these risks.
  • The role holder will be required to lead on assigned control assessments.
  • The role holder will be required to provide clear and pragmatic guidance to the testing team.
  • The role holder is required to work with considerable autonomy, dealing with issues for which there is no obvious solution while still being able to provide judgment and clear direction.
  • Knowledge and Experience
  • Minimum of 6 years proven experience in financial services compliance, testing, audit and / or legal management experience or equivalent.
  • Good understanding of financial crime and / or regulatory compliance and / or the aptitude to develop this understanding in good time, and must be familiar regarding relevant regional laws, regulations and the overall regulatory environment.
  • Minimum Bachelor's degree in related field such as business, finance, law or equivalent experience; Master's degree preferred.
  • Proven organisational, planning, interpersonal, managerial, analytical, problem-solving, decision-making, and team building skills.
  • Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.
  • Experience working with local and regional stakeholders and an understanding of global standards of quality.
  • Ability to work with different cultural groups and build consensus.
  • Requires understanding of the changing regulatory landscape regarding compliance functions within the banking industry.
  • Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments timely.
  • Experience utilising assurance automation and analytics tools preferred.
  • Fluent in both oral and written English.
  • Proficient with Microsoft Office.

    • Skills Required

    Microsoft, Business, Finance, Analytical, Problem-solving

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