CA/MBA Finance with 10-14 years of experience in compliance and/or Financial Crime Compliance audit experience.
ACAMS AML / CGSS certifications are an added advantage.
Technical skills:
Good understanding of compliance and Financial Crime Compliance topics including Anti Money Laundering (AML) related activities such as Transactions Filtering, Client Screening, Transaction Monitoring, Sanctions List & Rules Management, FATF, Counter Terrorism Financing, etc.
Fair understanding on the Compliance function in Banking Industry and Know Your Customer (KYC) processes
Fair understanding of the Banking operations with focus on Corporate& Investment Banking, Trade Services, Securities Business.
Fair knowledge of accounting activities related to consolidation, group reporting, IFRS, trading books of accounts and various control function
Fair understanding of the statutory and regulatory norms applicable to banking business
Functional skills:
Good understanding of Audit lifecycle from planning to closure of recommendations. Prior experience of performing controls testing and working with fair amount of autonomy.
Good understanding of risk based audit methodology, risk assessment and audit planning.
Produce good quality statement of findings and ability to synthesize clear and concise thematic opinions.
Ability to work on multi location / global audits with large and diverse teams.
Understanding /exposure on quality initiatives within audit function.
Fluent Command over English language (oral as well as written)
Ability and willingness to travel on audit assignment to cover global businesses and entities.
Basic understanding of Data Analytics (preferred)
Behavioural:
Result Oriented and Time Management, Client Focus, People Development, Change Management, Cooperation, Ability to work with diverse teams / Team player, Conflict Management
- Write formal & clear reports to communicate audit results to management
- Makes appropriate recommendations to improve SG processes
- Timely issuance of the audit reports
- Follow-up recommendations issued timely and escalate when needed
- Acquire knowledge on activities and risks during assignments and via trainings
Being a contributor to the audit life cycle from planning to testing, reporting and closure of issues under the guidance of the Head of Mission/Senior Auditors, assist audit management in execution of Audit plan. The audit work performed should comply with prescribed quality and timelines. Shared services missions may involve onshore travel.
Maintains clear work papers and audit trail of the work done in the audit workflow tool, in accordance with the prescribed methodology.
Be a part of the quality initiative taken by the Audit department and deliver audit related work as per prescribed timelines and quality standards.
Makes appropriate recommendations to improve SG processes
Follow-up recommendations issued timely and escalate when needed
Acquire knowledge on activities and risks during assignments and via trainings
Develop a good understanding of business and strengthen stakeholder management skills as a part of Continuous Audit Monitoring.
Primarily execute audits relating to credit and operational risk
