VP Audit
4 weeks ago
VP, Credit Process/Global Transaction Banking/KYC AML CFT & Sanctions, Group Audit
Group Audit helps the Board and Executive Management meet the strategic and operational objectives of the DBS Group. We conduct independent checks to ensure that the Group’s risk and control processes are adequate and effective. All our team members are highly sought-after professionals who work as trusted advisors to our clients, in all matters related to a company’s internal controls.
Job Role
This role encompasses dealing with teams across the DBS network with the Institutional Banking Group (IBG) (Corporate Banking), Risk Management Group- Credit risk (including PSL), Global Transaction Services (Cash management including digital channels, Trade & Custodial Services) and related operations pertaining to these businesses.
The role will report to Segment Head, IBG/GTS Audit India. The role work also needs to closely with Country Head and Global Functional Audit Heads on the specific relevant projects (as needed).
Key Accountabilities:
You will be a key team player responsible for planning and execution of end-to-end audits applying a risk-based approach in following areas for corporate banking client
- Work closely with the Credit Risk Review (underwriting process) regional audit team and plan the Credit audits end-to-end audits. Specifically execute review of program lending cases for SME clients, perform Credit Process review for large/mid and SME clients – i.e., post sanction, post disbursement including documentation, end use monitoring, regulatory reporting, non-performing assets, link reviews with specific aspects of trade finance, particularly structured trade & treasury and markets.
- Global Transaction Services (Cash management, documentary/open account trade, Swift, Custody/Securities services) audit.
- KYC/AML/CFT & Sanctions-related processes
- Priority sector lending- classification, documentation, end use monitoring, regulatory reporting, review of inorganic lending areas like direct assignment, PTC etc.
Job Duties and Responsibilities
- Lead and/or undertake audit projects to provide reliable and independent assurance with limited supervision on a day-to-day basis.
- Prepare audit planning and scope document for review with segment leads, country and functional heads.
- Evaluate the design and operating effectiveness of processes and controls and develop appropriate tests to be conducted and ascertain the level of testing of controls required.
- Execute the assigned audit engagements in agile manner efficiently and effectively.
- Ensure concise and clear audit findings and reports are presented on a timely basis.
- Identify & assess potential risks in accordance with current regulatory requirements.
- Advise and apprise promptly the Segment Head of all major risk, control and regulatory issues arising during the audit.
- Establish and build relationships with stakeholders including continuous monitoring and auditing of the business and support units to keep abreast of the development of the units and identify any areas of concerns.
- Define and develop Continuous Auditing/always on testing scenarios.
- Contribute in knowledge sharing within the team
- Keep abreast of own professional development to enhance one’s skills and competence.
- Proactively support the Segment Head in the preparation of the quarterly updates to Audit Committee, Regulatory submissions as and when needed.
Qualifications
Bachelor's/University degree, Master's degree (Full time MBA from reputed institutes preferred)
Chartered Accountant and related certifications (CPA, ACA, CFA, CIA or similar) preferred.
Experience/Skills
- 10+ years of relevant auditing experience i.e., corporate credit risk management including credit control units, early warning, non performing asset review, global transaction services (trade, swift etc.) experience
- Strong understanding of Credit risk, Trade Finance, FEMA and KYC/AML Controls in the Banking industry.
- Ability to work effectively with multiple priorities and to determine the most appropriate solution based on organisational and stakeholder needs.
- Ability to establish and maintain positive relationships with stakeholders and teammates.
- Self-motivated, takes initiatives and demonstrate the ability to work independently or as team lead or member of the audit team.
- Excellent oral and written communication, negotiation and, presentation skills.
- Proven robust analytical skills with strong attention to detail.
- Open to travel.
Primary audit workplace: Mumbai, Express Towers
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