Head - Internal Control Unit - Capital Market - Asset Servicing Firm

This is regarding opening with a leading Asset Advisory Company as a Head of Internal Control Unit- Capital Market

Designation: Head of Internal Control Unit- Capital Market

Experience: 25 years of experience in internal control, or audit functions, should have Strong understanding of capital market process & regulations

Education: CA or MBA

Location: Mumbai

Job Role:

- Design and implement internal control mechanisms with local and international regulatory frameworks.

- Fully responsible for the organization to achieve third party approvals like SAS 70 (SOC1)with company policies and identify areas where risks may emerge.

- Proactively detect risks and design strategies to mitigate them.

- Develop and continually improve the company's risk management framework.

- Ensure that SOC 1 audits are conducted regularly, maintaining stringent controls over business operations.

- Guide and train staff on risk management and internal control processes.

- Lead regular internal audits across business units to ensure consistent adherence to policies and regulatory standards.

- Prepare comprehensive reports on internal control and risk management for senior management review.

- Help building the ICU team