Sr. Manager/ AVP
4 weeks ago
We are seeking a Sr. Manager/AVP - Compliance Testing - Retail Assets to prepare and execute a compliance review plan for the board. You will be responsible for undertaking fieldwork, preparing compliance review checklists and reports, and ensuring proper documentation is maintained. This role requires a professional who can effectively communicate with stakeholders and follow up on open issues to ensure their timely closure.
Roles & Responsibilities:
- Compliance Planning: Prepare a Compliance Review plan for the board and create or update compliance review checklists in line with regulatory guidelines and internal policies.
- Fieldwork & Reporting: Undertake fieldwork to complete reviews within prescribed timelines. Prepare a draft compliance review report and discuss it with relevant stakeholders.
- Documentation & Follow-up: Ensure proper documentation and working papers are maintained for all compliance reviews. Prepare an Open Issue tracker and follow up with management to ensure the closure of compliance review open issues.
- Stakeholder Communication: Obtain responses from stakeholders and use them to prepare the final compliance review report.
Skills Required:
- Proven experience in compliance testing or internal auditing, preferably with a focus on retail assets.
- Strong knowledge of regulatory guidelines and internal policies.
- Excellent report writing and documentation skills.
- Ability to effectively communicate and coordinate with various stakeholders.
- Strong organizational skills to manage timelines and follow up on open issues.
QUALIFICATION:
- Bachelor's degree in Finance, Accounting, or a related field, or a professional certification such as CA, CPA, or CIA.
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