AMManagerAVP - WM - Internal Control OfficerGlobal Delivery Center

3 weeks ago


mumbai, India Riverforest Connections Private Limited Full time

Responsibilities

Control framework

Work closely with WM APAC Conduct & Control and ISPL Operations teams to ensure that guidelines established centrally are adapted in APAC.

Update RCSA and risk maps as part of the implementation of the Operational Risk framework.

Identify and remediate gaps in the control framework based on IG missions RISK ORM permanent control actions open risk areas TAC/NAC projects and incidents.

Subsequently review the control plans using a riskbased approach.

Risk management

Monitor the ORUS controls results declared by Operations Teams and report the signoff status.

Design the control plan to be executed by the WM Internal Control team following a riskbased approach.

Perform the control testing as defined in the control plan and validate the action plan with ISPL Management

and WM APAC Conduct & Control. Ensure reporting of control outcome to relevant stakeholders.

Ensure operational risk incidents are properly collected coordinate the root cause analysis and

contribute to the definition of remedial actions.

Followup and contribute to close recommendations/permanent control actions/incident remediation actions

assigned to ISPL Wealth Management.

Ensure adherence to reporting in all tools (ORUS 360 Aurora etc.)

Take a step back to identify key risk areas and to propose longterm remediation actions to ISPL management.

Regulations Procedures and Code of Conduct

Proactively monitor the regulations changes to ensure cascading in Operations teams.

Monitor the implementation of global/local regulations and internal policies by Ops teams.

Ensure compliance with global and regional policies especially Compliance and IT Security.

Minimum 5 years of experience in the following areas : Wealth Management Business Risk Management Wealth

Management Operational Risk & Control (1LOD) Compliance (2LOD) or audit department.

Good analytical skills and control mindset.

Ability to integrate various information and synthesize them.

Good communication and presentation skills with ability to interact with operations staff and Senior

Management.

Ability to work independently and as part of a team.

Coordination and multitasking skill.

Proficient in Microsoft Office Suite (Excel PowerPoint Word) for statistical analysis and report production.

Internal control,Compliance,Risk Management,Audit



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