AVP Compliance Assurance CTU

Work location
₹0 - ₹0
Full Time
9 - 12 Years

Job Views: 206

Job Applicants: coming soon

Posted: 549 Days ago

Key Skills

Job Description

We are currently seeking an experienced professional to join our team in the role of AVP Compliance Assurance CTU

  • The role will be responsible for delivering assessments of assigned controls, in accordance with CA procedures and the CACT assessment plan.
  • The role holder will be required to support the VPs of CTU (location name) in assessing the effectiveness of assigned FC and/or RC controls, identifying and raising issues where control gaps lead to material unaddressed financial crime and/or regulatory/conduct risks.
  • At a high level, the role holder will be responsible for the following:
  • Customise and localise standard test scripts and then evaluate assigned controls for design and operating effectiveness, raise issues as appropriate.
  • Ensure that assigned control assessments are accurate, effective, abide by CACT procedures and templates, and meet quality control requirements.
  • Ensure that assigned control assessments are delivered on time, in accordance with the CACT assessment plan.
  • Supervise the delivery of assigned control assessments using experience and knowledge to intervene and redirect testing as required, resolving or redirecting escalations as required.
  • Manage control owners and other stakeholders, ensuring the success of each assigned reviews, minimising contention where possible and requesting support where deemed necessary.
  • Manage the documentation of distinct control types, covering key aspects, such as remit, main processes and handovers to other teams.
  • Ensure that issue owners complete sufficient root cause analysis for all material issues and have appropriate remediation plans in place.
  • Develop and motivate the testing specialists through coaching and on-the-job training, ensuring the successful delivery of assigned control assessments.
  • As required, on a rotating basis, support regional CA teams to execute their assurance obligations through remote execution of local reviews and in line with standards set by the CA team commissioning the work (staff augmentation).
  • Support the VPs of the (location name) CTU in fulfilling their CTU responsibilities as required, including planning forthcoming reviews, drafting issues, contributing to the development of procedures and templates.   Evaluate the root cause analysis for all material issues and remediation plans in places to ensure that they are sufficient and fit-for-purpose.

Roles & Responsibilities

as above

Your Skills and experience

Your Experience and qualifications

  • Minimum of 9 years proven experience in financial services compliance, testing, audit and/or legal management experience or equivalent.
  • Good understanding of financial crime and/or regulatory compliance and/or the aptitude to develop this understanding in good time, and must be familiar regarding relevant regional laws, regulations and the overall regulatory environment.
  • Minimum Bachelor’s degree in related field such as business, finance, law or equivalent experience; Master’s degree preferred.
  • Proven organizational, planning, interpersonal, managerial, analytical, problem-solving, decision-making, and team building skills.
  • Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.
  • Experience working with local and regional stakeholders and an understanding of global standards of quality.
  • Ability to work with different cultural groups and build consensus.
  • Requires understanding of the changing regulatory landscape regarding compliance functions within the banking industry.
  • Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments timely.
  • Experience utilising assurance automation and analytics tools preferred.
  • Fluent in both oral and written English.

Company Details

About Company


Company Information

Code: 0000GDZO
Job Field: Risk and Compliance
Role Workstyle: Hybrid Working
Primary Location: Asia Pacific-India-Karnataka-Bangalore
Job Type: Permanent - Full Time
Job Posting: 03-Dec-2021, 07:22:24
Closing date: 02-Jan-2022, 18:29:00

About recruiter

Send CV to the email below (see under How to apply Section) 

Email Subject -  "CA_HSBC_AVP_CACT_Bangalore"

In the email, please mention

  • your current employer and position (if any)
  • No of years exp (post quaification)
  • your articleship firm
  • other notes:  your ca final results (rank, attempt, exemptions), 
  • your current location
  • are you willing to relocate


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