Continuum Wind Energy - Internal Audit & Risk Control Role - CA/LLB

Job Description :

1. Review existing SOPs / policies implemented by the Group and identify any gaps and recommend action required.

2. Design compliance management tracker / systems across organization.

3. Identify the laws / regulations applicable to the sector in which is company is operating and track compliance requirement.

4. Identify and monitor the compliance to the covenants stipulated in various financing documents.

5. Monitor tax, RBI, FEMA, MCA & Companies Act compliances,

6. Coordinate with Internal Auditors for finalizing audit plan for a particular period.

7. Create and manage effective action plans in response to audit discoveries and compliance violations.

8. Perform full audit cycle including risk management and control management over operations- effectiveness, financial reliability and compliance with all applicable directives, regulations, and policies.

9. Conduct investigations of flagged transactions and accounts including origin of accounts, KYC-compliance and account reconciliation.

10. Assist and provide information to support Suspicious Activity Reports (SAR) or equivalent for regulatory filing; also identify several significant cases, red flags and patterns associated with the laundering of funds.

11. Due diligence & corporate intelligence.

12. Conduct Quality Checks of outgoing deliverables reports prepared by junior analysts and help them in their performance development by providing constructive feedback.

13. Manage the Compliance Audit & Governance team responsible for overseeing & administering the Operational Risk, Financial Crime Compliance and Regulatory Compliance Areas related

14. Responsible for ensuring the divisional & business operations & risk management practices align to the frameworks, policies, risk strategy, regulatory obligations,

15. Responsible for performing risk assessment on the alerts created by the Transaction Monitoring Systems to identify non-compliance as per SOPs and Country based policies related. Perform control testing on the Transaction Monitoring Preventive Controls to rate its design effectiveness.

16. Responsible for Anti-Bribery & Anti-Corruption risk and control framework along with the implementation of Anti-Bribery & Corruption Guidebook using Pillars like Gift, Entertainment & Charitable Donations, Third Party Risk, Employee Risk & Strategic Risk

17. Overseeing, developing & implementing the Group Anti-Bribery and Anti- Corruption program (Adhering to FCPA & UK Bribery Act) across all the business lines of the Company.

18. To draft policy contents related to RBI Compliance, Prevention of Money Laundering Act,2002, Bank Secrecy Act, US Patriot Act etc.

19. Monitoring all the operational risk related activities as per the Operational Risk Framework Model & ensure that the control design related to these risks are tested and closed on a timely basis.

20. Conducting Anti Money Laundering audits ensuring that the controls related to these are functioning effectively. Also conducting High Level Compliance Audits

21. Responsible for preparing the various Governance Reports & Risk Dashboards for Senior Leadership, KPI & KRI Reports, Executive Summaries & Control Effectiveness reports