Associate Director/Lead - Compliance - BFSI/Consulting Firm

Associate Director - Compliance Lead

- 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 suggestionsw.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 :

- Essentia l: CA / MBA / CIA / CS from a reputed institute, with prior experience in Controls & Compliance or Internal Audit(8 to 12 years)