To lead and guide teams in performing adherence reviews and testing to detect any non-compliance of regulations in a timely manner, mitigating the occurrence of actual breaches and providing practical recommendations to address control deficiencies and process gaps.
Job Descriptions: -
- Assist in the development of the annual Compliance Plan
- Assist in developing risk-based review approach and testing program for each line of business
- Lead the review and guide the team to ensure objectives are met and timely completion of reviews in accordance with approved plan.
- Identify the observation/ areas of concerns that exist for the processes and controls covered
- Prepare quality work papers, compliance assessment reports/ independent validation deliverables, and periodic updates to Senior Management on findings
- Assist in enhancing the Compliance Review Methodology, Review Program and Templates as and when required
- Comply with regulatory and internal policies
- Track and monitor corrective / remedial actions to closure
Requirements: -
- 3 years in managerial role
- Worked for minimum of 5 years in compliance, banking operations, audit, risk, controls, AML, QA or relevant role
- Experience in performing audits/reviews
- Experience in project management and presentation of reports to senior management
- Good people skills and experience in leading teams
- Experience in reviewing, assessing, developing and documenting internal processes, controls and templates
