Senior Associate - Financial Risk & Control
Operational Risk and Controls :
- Ownership of end to end core deliverables for Corporate FP&A including but not limited to End User Computing, Finance Models Identification, Models Risk Management, Outsourcing Governance etc
- Develop action plans for policy implementation and ensure compliance with policies and frameworks
- Build Strategy and Execute R&C responsibilities by leading and working with various stakeholders in ensuring delivery of E2E components of policies and frameworks
- Partner with Local / Global seniors and support them with deliverables
- Lead the facilitation, coordination and resolution of efforts for the business unit via project planning, execution and control of key risk & control initiatives as needed in alignment with requirements and standards set by the centralized governance and oversight teams (e.g. MCA, EUC, MRM etc.)
- Inventory management & review of compliance control activities such as monthly information sheet, KPI and book of work submissions, reports/review materials/activities review for enhanced controls (e.g. maker/checker), standard operating procedures completeness assessment, etc
- Govern Monthly / Quarterly control & compliance forum meetings and share review score cards with senior management
- Drive self-identification of risk issues
- In-Business Control & Review
- End User Computing
- Annual Inventory review
- Metrics and Reporting
- Adherence to EUC controls standards
- Alignment to MRM policy
- Alignment to MCA policy and testing of critical controls related to EUCs
- Adhere to process/governance requirements relating to rationalization of High/Medium Risk EUCs
- Finance Models Identification
- Manage project requirements basis on-going communication from Global project teams
- Coordinate and maintain repository of all models pertaining to Mumbai FP&A
- Drive implementation of the project requirements on a need basis
- Drive implementation of MRM policy requirements for models assigned to Mumbai FP&A
- Alignment to EUC Policy
- Alignment to MCA policy
- Outsourcing Governance
- Monitor and execute Outsourcing policy requirements in line with India CSC Rules of The Road
- Engage with Country/Regional outsourcing partners on policy requirements to ensure all documentation is complete and in adherence to policy requirements e.g. NCIA, ADR (including annual review), updates in e-sourcing system, etc.
- Adherence to Cross Border Data Clearance requirements
- Manage ongoing outsourcing Monitoring and Governance requirements
- Policy Coverage (indicative list):
- EERS
- Mandatory Absence
- Global & Regional Compliance Trainings
- Personal Trading & Investment Policy
- NEMS
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