Job Description

Asia Compliance Testing Manager \xe2\x80\x93 Investment Bank \xe2\x80\x93 Mumbai

From 5 to 7 year(s) of experience
9 Not Disclosed by Recruiter


Mumbai




or

Roles and Responsibilities Primary Responsibilities :

The candidate will have several areas of responsibility including, but not limited to, the following:

• Executing compliance tests (audits) on topics assigned by regional Compliance Testing team in Asia
• Analyzing and documenting report findings, and having preliminary discussion with corresponding control/process owners
• Analysis of regulations and internal policies/rules for each test topic
• Conducting tests related to transactions and other documentation for compliance with the relevant regulations and policies/rules
• Conduct/ participate in walkthroughs / interviews with business employees responsible for a particular area
• Ensuring detailed documentation of test work-papers
• Draft workpapers and reports on test reviews and monitoring checks completed
• Responding to test quality assurance queries from regional Compliance Testing teams
• Identification of areas requiring attention or findings and assessment of relative risk
• Presentation of findings and recommendations to Compliance Managers in the Regional Compliance Testing Teams
• Helping to follow-up on review findings until resolution

Skills required (essential)

• The ideal candidate will have 5+ years professional experience at a financial institution
• Excellent communication skills \xe2\x80\x93 written and oral.
• Experience Compliance Testing or Internal Audits
• Knowledge of Capital markets and financial products
• Experience in interpreting laws or regulations
• Excellent time management skills, attention to detail and ability to execute tasks within tight deadlines
• Ability to facilitate meetings among stakeholders with diverse points of view
• Good interpersonal skills and ability to work effectively with colleagues across regions and Business Units
• Has the ability to read and analyze data

Skills desired :

• Has the ability to effectively handle a fast paced environment and successfully meet established deadline requirements
• Ability to research and resolve issues independently while working across teams to acquire information
• Be self-motivated and must have the ability to work independently
• Knowledge of global markets / market regulations / investment banking functions
• Industry qualifications - CA / CPA / CIA or similar certification

Role:Legal & Regulatory - Other Salary: Not Disclosed by Recruiter Industry:Investment Banking / Venture Capital / Private Equity Department:Legal & Regulatory Role Category:Legal & Regulatory - Other Employment Type:Full Time, Permanent

Key Skills
Internal AuditInvestment BankingCompliance TestingFinanceFinancial ProductsTest ManagementQuality AssuranceCaExecuting compliance testsAuditingInterpersonal Skills
Education UG:Any Graduate

Company Profile

SKILLVENTORY
We are hiring for Asia Compliance Testing Manager role at leading investment bank based in Mumbai





Recruiter Name:Jay Sampat Contact Company:SKILLVENTORY Telephone:+91-XXXXXXXXXX