Compliance Senior Associate

• Implement compliance testing framework, and methodology / checklists for compliance testing.
• Contribute to improvement of the framework including aspects being reviewed and newer areas
• to be included in the future
• Lead and perform compliance testing and other projects assigned to the Compliance team.
• Supervise teams / managers and provides guidance.
• Evaluate and examine applicable guidelines / policies / SOPs for areas being reviewed to refine
• testing attributes, identify unmitigated risks and suggest improvements
• Review testing sheets and backup documents to ensure they are in accordance with re- performance standards and are updated in the central database.
• Track and follow up on progress of implementation of recommendations with key stakeholders
• Finalize exceptions and discuss them with concerned teams to agree on facts and way forward
• Provide suggestions w.r.t. improvements in guidelines / risk processes to mitigate exceptions / improve existing processes and align it with stakeholders
• Independently prepare management presentation / deck summarizing work done in each testing cycle for discussion with leadership.
• Develops relationships with key stakeholders and works independently in representing
• Compliance lead in various forums / discussions.
• Identify and actively contribute to leading key initiatives for the function (such as leverage of analytics, undertaking review of new areas, implementing tool for the function, etc)
• Support the Compliance lead in quality reporting to the Senior leadership team in addition to other functional roles such as project management, recruitment, trainings, etc
• Develop a learning culture by coaching, counselling, and training team members by providing objective support and supervision, sharing ideas/information/knowledge through strong leadership skills.
• Contribute significantly towards building strong and effective awareness and consciousness towards compliance requirements within the organization.

Education and Experience:

Essential:

• Any Grad / Post Grad / CA / CIA / CS from a reputed institute, with prior experience in
• Controls Compliance or Internal Audit (3+ years)

Essential Skills:

• Ability to handle work pressure / deadlines and deliver consistent results
• Highly motivated and self-starter
• Excellent communication (written and oral) and interpersonal skills
• Proven ability to build, manage and foster a team-oriented environment
• Strong analytical skills and proven ability to work creatively and analytically in a problem-solving
• environment
• Willingness to work independently without much upward / downward support
• Excellent leadership and management skills
• Curious, willingness to learn and contribute to functional / organizational goals.

Mandatory Skill Set- Internal Audit,SOX Compliance
Preferred Skill Set- Internal Audit,SOX Compliance
Year of experience required- 3+ years
Qualifications- CA