Senior Compliance Specialist

3 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 5,00,000 - ₹ 8,00,000

Assessment and Compliance Professional

Job Description
  • We are seeking a highly skilled Compliance Testing professional to support Senior Managers in evaluating the effectiveness of assigned financial crime and/or regulatory compliance controls.
  • The role holder will identify and raise issues where control gaps lead to material unaddressed financial crime and/or regulatory/conduct risks.
  • This includes customising and localising standard test scripts, evaluating assigned controls for design and operating effectiveness, and raising issues as appropriate.
Responsibilities
  1. To ensure that assigned control assessments are accurate, effective, abide by internal procedures and templates, and meet quality control requirements.
  2. To deliver assigned control assessments on time, in accordance with the assessment plan.
  3. To supervise the delivery of assigned control assessments using experience and knowledge to intervene and redirect testing as required, resolving or redirecting escalations as required.
  4. To manage control owners and other stakeholders, ensuring the success of each assigned reviews, minimising contention where possible and requesting support where deemed necessary.
  5. To document distinct control types, covering key aspects, such as remit, main processes and handovers to other teams.
  6. To ensure that issue owners complete sufficient root cause analysis for all material issues and have appropriate remediation plans in place.
  7. To develop and motivate the testing specialists through coaching and on-the-job training, ensuring the successful delivery of assigned control assessments.
  8. To support the Senior Managers in fulfilling their CTU responsibilities as required, including planning forthcoming reviews, drafting issues, contributing to the development of procedures and templates.
  9. To determine innovative ways of testing controls in a precise and efficient manner, harnessing analysis of data where possible.
  10. To be attuned to the political, management, operational, regulatory and reputational implications of particular decisions and courses of action. Managing the demands of the multiple and diverse aspects of the role.
  11. To assist management in development of controls and systems and influencing the way in which business is conducted in order to manage these risks.
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