Executive - Enterprise Risk and Regulatory Affairs

1 month ago

Hyderabad, India IQ-EQ Full time
Job Description

Responsibilities

The Senior Associate: Enterprise Risk and Regulatory Affairs will provide support:

  • to the attainment of the overall objectives of the Enterprise Risk and Regulatory Affairs Department.
  • in the planning, design and implementation of the enterprise-wide risk governance framework.
  • to formulate regulatory and personal compliance policies, best practices and processes, attend to complex queries.

 

Tasks

  • To draft Enterprise Risk, Regulatory Affairs and Personal Compliance local policies, procedures, processes, guidance notes, as appropriate
  • To assist in conducting an enterprise and regulatory risk assessment of all products, technology and business practice at IQ-EQ Mauritius cluster (“IQ-EQ MU”) in accordance with an agreed plan
  • To provide support in identifying, analysing and disseminating the latest regulatory information
  • To provide day to day advice and support to Client Compliance and Client Delivery on basic queries arising from the formulation, implementation and interpretation of the policies, best practices and processes
  • To assist in conducting compliance monitoring and/or risk reviews in accordance with the annual Review Planner and reporting process for onward communication to the reporting lines and Senior Management
  • To assist in the investigations and maintenance of Incidents/Risk Events and Complaints Registers
  • To provide support in other compliance and risk management deliverables
  • To ensure protections of information assets of IQ-EQ MU and to abide by the ISMS in place at IQ-EQ MU
  • Conducting operational audits and review to identify controls deficiencies, conduct risk assessments and come up with remedial actions.
  • Provide support in conducting Risk Events assessments and root cause analysis (experience with working on MetricStream would be an advantage)
  • Provide support in the implementation and maintenance of the Operational Risk Management Framework
  • Monitoring and reporting of Key Risk Indicators for different Business Units.
  • Assist in Complaint Handling, including conducting investigations to determine root cause of the complaint.
  • Assist in the conducting Risk Control Self Assessments (RCSA) and Business Impact Assessments (BIA)
  • Basic knowledge of Business Resilience Framework and Business Continuity Plan.
  • Provide support in risk reporting deliverables towards Risk/Audit Committee, Senior Management Team and Board
  • Support in the assessment of regulatory risk through gap analysis
  • Assist in the implementation and maintenance of the Personal & Ethics Compliance Framework

Key competencies for position and level

  • Customer focus
  • Collaborates
  • Good researcher
  • Good Analytical Skills
  • Detailed Oriented

Expected key behaviours

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

  • Accuracy
  • Attention to detail
  • Collaboration
  • Organisation
  • Proactivity

 


Qualifications

Required Experience

Education / professional qualifications

A degree from reputable university, preferably in the field of finance or financial services or directly related to compliance and risk functions with sufficient work experience to compensate.

A postgraduate degree or professional qualification in the field of Compliance and Risk Management would be an advantage.

Background experience

At least 2-4 years’ experience in the financial services sector and preference given to experience in Risk Management and Compliance

Experience in a similar role would be an advantage.

Technical

Good knowledge of compliance, risk and of regulatory framework.

Computer / program knowledge

Good Office tools skills and good knowledge of Excel modelling tools

 



Additional Information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

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