Following is the job description for a senior level position with my client based in Mumbai.

Qualification: CA/ICWA/CS

Relevant Industry: BFSI

Job Description / Responsibilities

- Independently manage a team of Audit Inspectors and evaluate and review the audit reports to identify concurrent & potential risks / weakness.

- Suggest and implement plans for mitigating the risk.

- Build in a process for comparing variances and identifying gaps in inspections.

- Independently analyse and Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.

- Remain abreast of the status of all compliance activities and improvise where required.

- Remain abreast of all relevant regulations issued by SEBI and other authorities and put in place processes for implementing and monitoring the same.

- Provides reports on a regular basis, to keep the senior management informed of the operation and progress of compliance adherence by the business partners and betterment towards the same.

- Develops an awareness training program on compliance, including regulatory and anti-money laundering aspects. A Hand book (DVD) to be documented for all the business partners and to set up evaluation test for the business partners.

- Occasionally meet the Business Partners (as per need) along with the Audit Inspectors.

Desired profile of the candidate

- In depth knowledge of the legal and regulatory framework and the regulatory environment pertaining to securities market.

- Eye for detail in order to evaluate the inspection report shared by the Audit Inspectors.

- Demonstrate proficient critical thinking, research and quantitative skills.

- Methodical and systematic in work approach

- Excellent report writing skills

- Articulate, confident communicator and presenter

- Assertive and persuasive

- Self-motivated with good teamwork skills

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