Regulatory Compliance
4 weeks ago
The role in Finance & Regulatory Compliance shall encompass various tasks including, but not limited to, the following:
Liaise with Risk and contro l team to provide regular updates
Actively formulate compliance tests for client processes
Analysing data and reviewing supporting documentation provided by the business
Assessing risk related to policies/ process and working on identifying new controls
Identifying enhancements and remediate actions to address compliance gaps
Prepare reports for management in a summarised form
Prepare process knowledge documentations like SOPs, Cheat sheets, etc.
Provide regular updates to the team lead and management for day to day activities
Work on Employee compliance modules for financial industry regulation
Conduct Audits, Monitor and perform compliance checks
Work extensively on Excel based reports, analyse, and prepare compliance reports
Prepare Monthly/Quarterly/Yearly reports and presentations
Maintain and manage document and policy checklist repositories
Experience in working on different tools for Risk and control
Carry out and oversee detailed info gathering, process mapping, analysis and other activities with objective to identify and assess compliance risks. For this purpose, extensive interaction with other departments and functions is expected
Reports to
Team Lead / Manager
How You Add Value
(including but are not limited to)
You have at least 4 - 8 years’ experience in the Finance & Regulatory/corporate department of a fiduciary or have worked in a company engaged in providing finance services compliance check. You are willing and looking to consolidate and grow your skills and talents in the long term with a company that works in a strong team and results-based environment. You speak English fluently and bring on table:
Good exposure to finance compliance and audit process
Hands on experience of providing basic financial services audit and compliance check
Proficiency in using MS Office Tools
Ability to work in team environment as well as independently
Ability to resolve complex problems efficiently
Excellent interpersonal or organization skills
DESIRED SKILLS & COMPETENCIES
Logical Thinking
Experience /exposure to similar work environment
Attention to detail
Experience in analyzing documents
Maintain detail documentation and reports for key stakeholders
Effective communication and written skills
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