Manager - KYC/AML Compliance Audit/Testing - BFS

Responsibilities :

- Assess the regulatory control environment of CIB businesses, with a view to providing recommendations to management for improvement where weaknesses are identified

- Execute audits efficiently, including risk assessment, audit planning, testing, control evaluation, report drafting and follow-up and verification of issue closure. Ensure audits are completed timely and within budget

- Work closely with regional/global CIB audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders

- Identify risks and prioritize audit work as part of a risk based audit program in close partnership with the wider audit team

- Keep abreast of evolving regulatory changes and market events impacting the wholesale businesses and ensure appropriate audit coverage on CIB Corporate sector related matters.

- Communicate audit issues and results effectively in both verbal and written form, and be able to influence effectively

- Establish and manage strong working relationships with key stakeholders in the CIB Corporate Sector organizations

- Foster a business climate and culture that encourages integrity, respect, diversity, excellence and innovation

Qualification :

- Minimum Bachelor's degree in Accounting, Finance or related discipline and/or other relevant professional qualifications, e.g. CPA, CAMS

- At least 5 years- audit or relevant compliance/regulatory experience, within a financial services organization, major accounting firm or regulatory body

- Knowledge of key regulations and industry issues & themes (e.g. anti-money laundering, surveillance, sanctions, conflicts of interest, information barriers, regulatory reforms).

- Good understanding of internal control concepts

- Ability to carry out complex tasks under time pressure

- Proven ability to build strong working relationship with key stakeholders

- Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner

- Enthusiastic, self-motivated and willing to take personal responsibility/accountability

- Strong ability to multi-task and effective under pressure

- Ability to lead audits, manage projects and participate in audit assignments in a team environment

- Works well individually and in teams, shares information and supports colleagues

- Be flexible and adaptable to dynamically changing work environments, including some travel to other countries as part of regional audit engagements. Ability to travel within the Asia region (up to 20%)

- Current Company :
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Tejashree Waradkar
Team Leader
Dir No: +91 22 66848503|Mob No .8454843560