Compliance Audit Specialist

7 days ago


Pune, India T D Newton & Associates Full time

Job Description


  • Provide functional management and oversight of junior team members within the Review Support Team including colleague development and training.
  • Leading ‘pre-planning’ activities including, liaising with Assurance colleagues, Business Oversight and Internal Audit Colleagues to understand the requirements of each review, suggested scope areas and areas of potential duplication in coverage and ensuring adherence to Assurance Methodology, embedding governance and establishing the Review Support framework
  • Sourcing and identifying key data sources and systems related to the review objective. Source information on data owners and relevant documentation/metadata/data dictionaries.
  • Driving the development and adoption of Excel and other relevant reporting/analysis tools to produce insights and reporting of key metrics to support senior management oversight.
  • Provide day to day operational support to Assurance users of the Compliance Assurance Platform (CAP) ensuring successful usage of the system and completion of reviews. At the commencement of each review, own the process for ensuring the CAP record is updated with all necessary data points.
  • Develop and utilize strategic reporting and analysis tools such as Tableau and Excel to deliver insights on the progress of the Assurance Annual Plan and other key metrics related to Compliance Assurance and the Conduct Horizontal
  • Ensure that data held within the Assurance workflow tool (CAP) is well maintained, including the maintenance of core/reference data. Where user-entry data quality issues emerge, engage with relevant business user groups to remediate in a timely manner.
  • Provide support to the Assurance Global Services leadership team on ad-hoc activities at the discretion of Compliance Assurance senior management.


What we’re looking for:

  • Strong attention to detail and identification of key data points and tools for further analysis
  • Exceptional organizational skills and ability to manage competing priorities including the management of multiple stakeholders and operational tasks; providing pragmatic solutions to problems as they arise.
  • Excellent interpersonal skills, with the ability to be proportionate, pragmatic and resilient. Able to communicate concepts with clarity and purpose both in written and verbal formats.
  • Understanding of data architecture and terminology to support data source identification, access requests and extraction.
  • Advanced experience of Microsoft Office applications including Word, Excel and PowerPoint to support the reporting of progress and key metrics relating to the execution of the Assurance Annual Plan

Skills that will help you in the role:

  • Qualified Chartered Account
  • Knowledge of key Compliance risk areas (such as Financial Crime, Conduct and Reputational Risk) and/or relevant regulations and technology systems
  • Experience providing system, admin or operational support within a large organisation or financial services.
  • Experience of Tableau reporting for the development of automated visualisations and dashboards
  • Ability to understand, manipulate and interpret large data sets identifying key data points
  • Experience and knowledge of using assurance / audit systems including annual planning, data population, providing system support and engagement with systems technology.


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