Sr Consultant/AM - Internal Audit Compliance

Opportunity with one of the leading consulting firms based out of Mumbai.

Seeking a candidate with 5- 7 years of experience to execute audit coverage of the firm’s Compliance organization, with a focus on the firm’s Anti-Money Laundering program, Regional Bank Compliance, Broker-Dealer Compliance and Anti-Corruption.

The candidate will be involved in the development, planning and/or performing of Compliance audits across the firm. Such involvement would include:

- Scope determination, development of audit planning memoranda, performance of test work and report writing;

- Preparation and execution of audit plans of the firm’s compliance activities;

- Ensure execution of the audit plan within departmental methodology, policies and standards;

- Preparation of the updates to the Risk Assessment

- Ability to travel when required (minimal).

Five to seven years of audit or compliance experience with a financial services firm with a focus on regulatory compliance:

- Solid understanding of the financial services regulatory environment particularly with respect to BSA/AML/OFAC, Bank Compliance and Broker Dealer Compliance;

- Effective communication skills;

- Understanding of the internal audit process;

- Ability to multitask, manage, support team members on projects, and thrive within a small-group environment;

- An undergraduate degree (B.A., B.S., or equivalent).

- ACAMS, C.P.A., Certified Regulatory Compliance Manger (CRCM), and/or Institute of Internal Auditors (IIA) certification a plus

- Working knowledge of a foreign language a plus

- Prior regulatory experience or experience communicating with regulators a plus

- Proficient understanding of internal audit processes a plus

Required qualifications and skill sets

- Required experience of 3-5 / 5+ years (as the case may be) of experience in Banking / financial services company or risk management / stat audit profiles with the Big 4 consulting firms, with specific experience in Banking / financial services covering:

- Regulatory / Compliance (KYC, AML, Surveillance, Front running, Insider Trading, Vendor Management, Capital Adequacy requirements, etc.

- Compliance - experience supporting financial institutions with banking, securities, investment management, anti-money laundering and/or anti-corruption compliance experience.

- Very strong communication skills (written and spoken English)

- Positive Attitude, Eye for details, Quality output

- Having served global clients would be an added advantage