Senior Vice President – Compliance Testing – Banking/Financial Services

Responsibilities:

Strategy and Planning:

– Assist in developing the annual audit plan in line with regulatory expectations and internal risk priorities.

Policies, Processes & Procedures:

– Preparation of Review checklists for Support functions in line with the regulatory guidelines/internal policies.

Job specific bucket/s:

– Conduct risk assessments for support functions to identify key control gaps.

– Execute end to end reviews including planning, fieldwork, testing, and reporting.

– Perform review procedures such as process walkthroughs, sampling, analytical reviews, and control testing.

– Assist in developing audit methodologies, checklists, data analytics routines, and automation initiatives.

People Management:

– Conduct lessons learned sessions after major audits to improve planning and testing approaches.

Functional Competencies:

– In depth knowledge of the regulatory environment for the banks in India particularly RBI.

– Good knowledge of all the support functions such as HR, Risk (BASEL / ICAAP / Capital Adequacy), IT Governance, Vendor management, Vigilance, data analytics, Finance & Accounts, etc.