Director - Compliance Testing - Investment Bank

We are hiring for Compliance Testing - Director role for one of the leading investment bank in the world.

Location - Mumbai

Experience - 8 to 12 years in Global Internal Audit in investment bank, big4, stock broking

Roles and Responsibilities -

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

- Execute Monitoring Checks on topics assigned by regional Compliance Testing teams in Americas, EMEA and Asia in the capacity of lead tester

- Conduct interviews / discussions with senior business stakeholders and desk heads to gather understanding of control framework and supervisory activities performed by them

- Design and execute tests on different components of the review as part of the fieldwork

- Perform analysis of regulations and internal policies/rules for each test topic

- Conduct tests related to transactions and other documentation for compliance with the relevant regulations and policies/rules

- Conduct / participate in walkthroughs with business employees responsible for a particular area

- Ensure detailed documentation of test work-papers

- Draft workpapers and reports on monitoring checks / reviews completed

- Responding to test quality assurance queries from regional Compliance Testing and Central Compliance 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

- Collate data and prepare decks for EDO governance meetings on monthly basis.