Audit and Compliance Leader

2 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 2,00,00,000 - ₹ 2,50,00,000

Compliance Professional

As a key member of the leadership team, you will oversee and manage internal audit and compliance functions within our organization. You must have a thorough understanding of the regulatory environment and strong analytical skills to develop and implement effective audit and compliance programs.

Key Responsibilities:

  • Audit Management:
    • Develop a comprehensive audit plan to evaluate the effectiveness of internal controls, financial reporting, and operational processes.
    • Conduct regular internal audits to assess compliance with established policies, procedures, and regulations.
    • Identify areas of risk and provide recommendations for improving internal controls and processes.
    • Prepare detailed audit reports highlighting key findings and recommendations.
  • Compliance Oversight:
    • Ensure compliance with all relevant local, state, and federal regulations as well as industry standards.
    • Develop and maintain compliance policies and procedures ensuring they are up-to-date and effectively communicated across the organization.
    • Monitor changes in regulatory requirements and assess their impact on operations.
    • Conduct compliance training programs for employees to enhance awareness and understanding of regulatory requirements and ethical standards.
  • Risk Management:
    • Identify potential areas of compliance vulnerability and risk, and develop/implement corrective action plans.
    • Collaborate with various departments to develop and implement risk mitigation strategies.
    • Maintain a risk management framework ensuring risks are identified, assessed, and managed effectively.
  • Reporting and Documentation:
    • Prepare and present audit and compliance reports to senior management and the board of directors.
    • Maintain comprehensive documentation of all audit and compliance activities, findings, and recommendations.
    • Ensure timely and accurate reporting of compliance issues to regulatory authorities as required.
  • Team Leadership:
    • Lead and manage the audit and compliance team providing guidance, training, and support.
    • Foster a culture of integrity, accountability, and continuous improvement within the team.
    • Conduct performance evaluations and provide constructive feedback to team members.

Requirements:

  • Masters degree in Finance, Accounting, Business Administration, or a related field.
  • Minimum of 6-10 years of experience in audit and compliance within the financial services or fintech industry.
  • Strong knowledge of regulatory requirements and industry standards relevant to the fintech sector.

Preferred Skills:

  • Experience with regulatory compliance tools and software.
  • Knowledge of emerging technologies and their impact on financial services compliance.
  • Strong project management skills.
  • Ability to work independently and as part of a team in a fast-paced environment.

Our Organization:

We are a leading fintech company committed to innovation, excellence, and customer satisfaction.

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