Associate at Crescendo Group
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Senior Specialist - Operational Risk/Control Testing - Accounting Firm (2-7 yrs)
Sr. Specialist - Operational Risk (Control Testing) - Mumbai
Assurance and Controls Testing, Operational Risk - Mumbai
1. Ensuring compliance to the people policies, Group Code of Conduct and embedding desired behaviours, including completion of any mandatory training requirements.
2. Being personally accountable for identifying, assessing, managing and reporting risks within your area of responsibility, including supporting formal risk management activities e.g. Risk & Control Self Assessments and timely closure of Assurance action
3. Contributing to the creation, maintenance, and enhancing Operational Risk Assurance & Controls Testing Plan and the controls scoping activity
4. Supporting the Assurance & Controls Testing Manager in the delivery of the Plan
5. Executing operational risk assurance, RCSA reliability reviews and IT control testing reviews/deep dives across all business areas and outsourced service providers as may be required including participating in the controls testing fieldwork, engaging with external auditors and documenting the test results
6. Preparing reports of assurance and control testing review findings and recommendations
Qualification & Certifications: Graduate/Post-graduate/CA (preferred)/MBA with minimum of 1 to 2 years (or more) of overall experience in financial services industry, with prior experience in Operational Risk/Risk Management/Internal Audit
Experience / Knowledge / Skills required:
1. Having Minimum of 2+ years (or more) of experience in a Risk/Audit function/Big4 within a financial institution with focus on operational risk/internal audit/enterprise risk
2. Working knowledge of Control Frameworks such as COSO (essential) and COBIT (preferred) Strong knowledge and experience of working with risk monitoring , controls testing and/or internal audit assurance assignments and tools, techniques and industry best practice
3. Working with external auditors Working knowledge around financial closing processes
4. Conducting SOX testing or equivalent IFC reviews
5. Working knowledge of financial services products, systems, processes and distribution methods Working knowledge of Operational Risk in financial services in investment management and insurance
6. Strong written and verbal communication and negotiation skills Strong Knowledge of UK financial services sector, including regulatory, governance and risk management rules and regulations including AAF reporting or covering equivalent reports offering assurance over outsourced services specifically elements that would impact financial reporting.
7. Working knowledge of the AAF standard issued by the Institute of the Chartered Accountants in England and Wales (ICAEW) - AAF 01/20 or equivalent (e.g. ISAE3402, SSAE18)
8. Working knowledge of ClusterSeven Enterprise Spreadsheet Management (ESM) module and End User Computing Controls (EUCC)
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