Audit Readiness

**JOB DESCRIPTION**
Join our team as an Audit Readiness and Monitoring (ARM) Associate, where you'll have the opportunity to enhance audit preparedness across Global Asset & Wealth Management Operations.

As an Audit Readiness & Monitoring Associate within the Global Asset & Wealth Management Operations team, you will play a crucial role in enhancing audit preparedness across various functions. You will focus on implementing robust governance structures and conducting proactive reviews to ensure alignment with the firm's audit standards and regulatory requirements. Your role will involve active engagement with the business to initiate reviews and monitor the governance health of processes consistently. You will collaborate closely with Operations leads, control partners, compliance, and technology teams to collect and analyze data, identify areas for improvement, and support the implementation of corrective measures. This role offers the opportunity to promote continuous improvement and control initiatives, foster a culture of compliance and operational excellence, and explore and implement automation solutions to streamline processes.

**Responsibilities**:

- Create and implement governance frameworks that enhance process audit readiness. This includes conducting comprehensive reviews of operational processes to ensure compliance with the firm's governance policies & standards.
- Work closely with Operations leads, control partners, compliance, and technology teams to gather and analyze relevant data. Collaborate with Ops leads to understand their processes, conduct preliminary governance reviews to ensure monitoring and maintenance of process governance health.
- Perform an in-depth analysis of data related to process governance to identify potential discrepancies/risks/audit gaps
- Prepare and maintain thorough documentation for audit purposes, ensuring all records are comprehensive and up to date.
- Conduct thorough evaluations of process governance to identify any gaps or discrepancies that do not align with the firm's standards. Assess the potential impact of these gaps on audit requirements and support business in mitigating any identified risks ensuring audit readiness.
- Oversee multiple reviews simultaneously, ensuring that each adheres to a standardized governance monitoring framework. This requires strong organizational skills and effective task prioritization. Identify and report non-compliance areas and recommend corrective actions.
- Maintain clear and effective communication with all stakeholders involved in the ARM review process. This includes preparing detailed reports to convey findings, remediation plan, and progress updates to track closure.
- Drive continuous improvement and control initiatives by identifying best practices and recommending enhancements to existing governance frameworks. Explore and implement automation solutions to streamline processes, increase efficiency, and reduce manual effort. The ARM Associate will play a key role in fostering a culture of compliance and operational excellence within AWM Operations.
- Develop a deep and up to date knowledge of the firm-wide governance standards and guidelines. Collaborate with cross-functional teams to gain insights into existing controls and ensure alignment with these standards.

**Required qualifications, capabilities, and skills.**
- BTech / CA / CWA / MBA / Graduate or Post-Graduate with 5 years’ experience in risk management/Compliance/Audit/Data analytics team
- Excellent verbal and written communication skills - ability to summarize findings into concise, high-level points and visually depict key data and findings
- Strong consulting and stakeholder management skills, a client service philosophy, and the ability to build and foster internal relationships.
- Experienced in collaborating with project stakeholders, including the skills to facilitate discussions and resolve conflicting requirements.
- Must be confident and experienced and be able to interact at senior / middle management level.
- Must have demonstrable stakeholder engagement experience including organizing and managing cross-functional / work stream teams.
- Must be able to handle pressure associated with complex project and programmes in demanding customer environment.
- Self-sufficient and require little day to day management support.
- Can operate effectively in a dynamic environment with tight deadlines and can prioritize one’s own work to achieve them.
- Flexibility to work global hours.
- Ability to lead teams, manage cross-functional projects.

**Preferred qualifications, capabilities, and skills**
- Demonstrated expertise in risk management frameworks, industry standards, and regulatory requirements relevant to the financial industry.
- Knowledge of audit principles, regulatory standards (SOX, PCI DSS, GLBA, SOC), IT General Controls, and best practices for audit readiness.
- Knowledge of automation tools like python, Alteryx, Unqork, UI Path
- Kn