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IndigoJobs28-03-2024<h4>Job Description</h4><p><strong>About the Role</strong></p> <p>The Investigator will be responsible for conducting investigations into alleged violations of the organization's code of ethics, policies, and procedures. They will work closely with other departments, including Ethics, Legal and HR, to ensure that all investigations are handled in a fair and objective manner and that appropriate actions are taken to address any identified misconduct. The Ethics Investigator will be responsible for ensuring that all investigations are conducted in accordance with applicable laws and regulations and that all evidence is collected and preserved in a manner prescribed by the company.</p> <p><strong>About the team</strong></p> <p>The Ethics and Compliance team oversees compliance matters, promotes an organizational culture that encourages law abiding and ethical conduct. They are also responsible for increasing employee awareness of the companys compliance and ethics programs and facilitate the development & operation of these programs. The program investigates all ethical concerns raised and takes appropriate action along with business, also provides opinions/clarifications to employees on the Code of Conduct and the POSH policies. Conducts appropriate awareness and training programs to report possible ethical issues.</p> <p><strong>You are Responsible for</strong></p> <ul> <li>Conduct thorough and objective investigations of alleged violations of the organization's code of ethics, policies, and procedures.</li> <li>Gather and analyze evidence, including documents, emails, and witness statements, to determine the facts surrounding the alleged violation.</li> <li>Maintain strict confidentiality throughout the investigation process.</li> <li>Develop and maintain strong relationships with other departments, including HR, Legal, and Ethics, to ensure investigations are handled in a fair and objective manner.</li> <li>Prepare written reports detailing the findings of each investigation </li> <li>Ensure that all investigations are conducted in accordance with applicable laws and regulations and that all evidence is collected and preserved in a manner consistent with legal requirements.</li> <li>Stay up-to-date on relevant laws and regulations, as well as best practices in investigation.</li> </ul> <p><strong>To succeed in this role you should have the following</strong></p> <ul> <li>Chartered Accountant with experience of 1 2 years</li> <li>CFE will be an added advantage</li> <li>Must have worked in investigations or related roles</li> <li>Hands on with data analysis and fluency in report writing</li> </ul> <br><b> Roles and Responsibilities</b> <br><p><strong>About the Role</strong></p> <p>The Investigator will be responsible for conducting investigations into alleged violations of the organization's code of ethics, policies, and procedures. They will work closely with other departments, including Ethics, Legal and HR, to ensure that all investigations are handled in a fair and objective manner and that appropriate actions are taken to address any identified misconduct. The Ethics Investigator will be responsible for ensuring that all investigations are conducted in accordance with applicable laws and regulations and that all evidence is collected and preserved in a manner prescribed by the company.</p> <p><strong>About the team</strong></p> <p>The Ethics and Compliance team oversees compliance matters, promotes an organizational culture that encourages law abiding and ethical conduct. They are also responsible for increasing employee awareness of the companys compliance and ethics programs and facilitate the development & operation of these programs. The program investigates all ethical concerns raised and takes appropriate action along with business, also provides opinions/clarifications to employees on the Code of Conduct and the POSH policies. Conducts appropriate awareness and training programs to report possible ethical issues.</p> <p><strong>You are Responsible for</strong></p> <ul> <li>Conduct thorough and objective investigations of alleged violations of the organization's code of ethics, policies, and procedures.</li> <li>Gather and analyze evidence, including documents, emails, and witness statements, to determine the facts surrounding the alleged violation.</li> <li>Maintain strict confidentiality throughout the investigation process.</li> <li>Develop and maintain strong relationships with other departments, including HR, Legal, and Ethics, to ensure investigations are handled in a fair and objective manner.</li> <li>Prepare written reports detailing the findings of each investigation </li> <li>Ensure that all investigations are conducted in accordance with applicable laws and regulations and that all evidence is collected and preserved in a manner consistent with legal requirements.</li> <li>Stay up-to-date on relevant laws and regulations, as well as best practices in investigation.</li> </ul> <p><strong>To succeed in this role you should have the following</strong></p> <ul> <li>Chartered Accountant with experience of 1 2 years</li> <li>CFE will be an added advantage</li> <li>Must have worked in investigations or related roles</li> <li>Hands on with data analysis and fluency in report writing</li> </ul><h4>Job Classification</h4><b>Industry: </b>Internet</br><b>Functional Area: </b>Internet</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Flipkart</br><b>Location(s): </b>Bengaluru</br><b><br /><br /><a href="https://indigojobs.in/job/643587/specialist-bengaluru-bangalore-flipkart-at-flipkart/">Apply</a><br />
https://indigojobs.in/job/643587/specialist-bengaluru-bangalore-flipkart-at-flipkart/
[Full Time] Specialist - Bengaluru/Bangalore - Flipkart at FlipkartFri, 22 Mar 2024 04:18:23 +0530<h4>Job Description</h4><p><strong>Role Details</strong></p><p>Assist the Head- Policy and Process to provide a governance model for implementation of all Consumer process & policies. These Policies need to ride on the regulatory framework hence staying abreast of changes in RBI regulations and market best practices is essential</p><br><p><strong>Compliance & Audit</strong></p><ul><li>Have all Consumer Policies updated and approved by the competent authority within defined timelines.</li><li>Assist the BUs in drafting these policies and once approved ensure its implementation at the ground level across Liabilities, Payments, and Assets BUs.</li><li>Responsible for minimizing audit findings by regulators or internal control functions. No tolerance for repeat findings.</li><li>Facilitate to ensure that all RAR escalations are closed on a timely manner, and ensure root cause analysis to fix process & policy gaps, so that there are no recurrence</li><li>Identify potential areas of compliance vulnerability and risk through analysis and assessment</li><li>Conduct checks to ensure proper implementation of Fair Practice code, Pricing policies, PSL classifications, UCIC, Credit deferrals do deviation tracking and ensure discrepancy closures</li><li>Tracking & ensuring collateral perfection for Asset products - LAP/KCC</li><li>IDPMS & EDPMS to be tracked and ensure BUs close out overdue Shipping bills</li><li>Tracking & providing recommendations for remediation of identified exceptions or deficiencies, and collaborating with the business to follow up on a timely remediation</li></ul><br><p><strong>Customer Service</strong></p><ul><li> Track & analyze client complaint trends across product lines, do root cause analysis and recommend corrective process & policy actions to fix the issue </li></ul><br><p><strong>Fraud & AML Monitoring</strong></p><ul><li>Conduct separate analysis of staff & client frauds and devise ways to manage/ reduce occurrence of the same</li><li>Performing review of AML alerts across liabilities, trade & cards clients and analyze to give inputs to sourcing channels</li></ul><br><p><strong>Outsourcing agencies validation</strong></p><ul><li>Ensure implementation of the Banks Outsourcing Policy & Code of Conduct for DSA/DMA/Recovery Agents</li><li>Business Continuity & management of Disaster Recovery Plan</li><li>Monitoring and Control of Outsourced Activities</li><li>Audit of the Due Diligence checklist & check fit & proper status </li></ul><br><br><h4>Job Classification</h4><b>Industry: </b>Banking</br><b>Functional Area: </b>Banking</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Indusind Bank</br><b>Location(s): </b>Mumbai</br><b><br /><br /><a href="https://indigojobs.in/job/643423/policy-and-process-manager-mumbai-all-at-indusind-bank/">Apply</a><br />
https://indigojobs.in/job/643423/policy-and-process-manager-mumbai-all-at-indusind-bank/
[Full Time] Policy and Process Manager - Mumbai (All) at Indusind BankFri, 22 Mar 2024 00:14:36 +0530<h4>Job Description</h4><p><strong>Role/ Job Title: Manager - </strong>Business Operational Risk & Compliance</p><br><p><strong>Function/ Department: </strong>Retail Asset Business & Risk</p><br><p><strong>Job Purpose:</strong></p><p>The role entails managing operational risk and compliance for retail assets. The role will closely collaborate with the product, business, Credit, Collections, Policy and operations teams to drive effective implementation of Operational risk framework and adherence to regulatory requirements. It includes building up of processes and framing of SOPs.</p><br><p><strong>Roles & Responsibilities:</strong></p><ul><li>Assist all stakeholders in quarterly performance of Risk control self assessment, data submission for KRI (Key Risk indicators). </li><li>Enhance understanding of operational risk and compliance.</li><li>Manage operational risk events, ensuring timely completion of preventive and corrective action.</li><li>Review of SOPs/ Policies from Operational risk and compliance perspective.</li><li>Preparation of Business Operational risk decks.</li><li>Tracking and closure of operational risk issues and events.</li><li>Liaison/ Collaborate with stakeholders for closure of RBI requirements and regulatory compliances.</li><li>Recommend process changes in order to mitigate operational risk.</li><li>Success Metrics: Timely closure of Operational risk actionable and regulatory compliances.</li></ul><h4>Job Classification</h4><b>Industry: </b>Banking</br><b>Functional Area: </b>Banking</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Idfc First Bank</br><b>Location(s): </b>Mumbai</br><b><br /><br /><a href="https://indigojobs.in/job/647109/manager-business-operational-risk-at-idfc-first-bank/">Apply</a><br />
https://indigojobs.in/job/647109/manager-business-operational-risk-at-idfc-first-bank/
[Full Time] Manager - Business Operational Risk at Idfc First BankThu, 21 Mar 2024 12:00:00 +0530<h4>Job Description</h4><b><br>Skill required:</b> Risk & Compliance SarbanesOxley Act (SOX)<br><b><br>Designation:</b> Sr. Analyst<br><b><br>Qualifications:</b>Any Graduation <br><b><br>Years of Experience:</b>5 to 8 Years <br><b>Language Ability:</b>Japanese Proficient <br><b><br>What would you do?<br></b>You will be aligned with our Risk and Compliance vertical and help us perform compliance reviews, publish reports with actions and provide closure guidance as needed. We design & recommend effective controls to mitigate risks and help service delivery team prepare for upcoming client / external audits. The team will be responsible for Risk Assessments and Audit Planning. They help prepare high quality audit planning memo and Risk Control Matrix (RCM), manage discussion with stakeholders. They assist the audit team in identifying and analyzing the inherent risks in the applications and supporting infrastructure of businesses and the controls that management has implemented to mitigate their risks. The is also occasionally involved in riskbased internal audits (IT), external audits, IT general and application controls, technology risk management, application development and hosting, database management, IT vendor management. The Operational Audit & Compliance team focuses on auditing and managing effective implementation and delivery of functional processes within operations to mitigate risks. The role may require for you to have a good understanding of anticorruption, BCM and infosec policies, records management and contractor controls. The team is responsible for establishing processes to validate the effectiveness and drive improvements wherever required.<br><b><br>What are we looking for?<br></b>Adaptable and flexible ? Commitment to quality ? Detail orientation ? Written and verbal communication <br><b>Roles and Responsibilities:</b> In this role you are required to do analysis and solving of lowercomplexity problems ? Your day to day interaction is with peers within Accenture before updating supervisors ? In this role you may have limited exposure with clients and/or Accenture management ? You will be given moderate level instruction on daily work tasks and detailed instructions on new assignments ? The decisions you make impact your own work and may impact the work of others ? You will be an individual contributor as a part of a team, with a focused scope of work ? Please note that this role may require you to work in rotational shifts<br><strong>Qualification</strong>Any Graduation<h4>Job Classification</h4><b>Industry: </b>IT Services & Consulting</br><b>Functional Area: </b>IT Services & Consulting</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Accenture</br><b>Location(s): </b>Noida, Gurugram</br><b><br /><br /><a href="https://indigojobs.in/job/642341/risk-and-compliance-senior-analyst-gurgaon-at-accenture/">Apply</a><br />
https://indigojobs.in/job/642341/risk-and-compliance-senior-analyst-gurgaon-at-accenture/
[Full Time] Risk and Compliance Senior Analyst - Gurgaon at AccentureThu, 21 Mar 2024 11:13:35 +0530<h4>Job Description</h4><p><strong>OBJECTIVE OF THE ROLE </strong></p><p>To implement and enforce an appropriate framework for identification, assessment, measurement, monitoring and reporting of operational risks</p><br><br><p><strong>KEY RESPONSIBILITIES</strong></p><ul><li> To ensure that a sound Risk Management Framework is established and promulgated in the Company including competition benchmarking</li><li> Working in collaboration with functional units in ensuring key risks are identified, assessed, measured, monitored and reported</li><li> Review of Risk & Control Self-Assessment Framework (RCSA) across organization, report the issues identified, track the action plan to ensure mitigation within timelines agreed</li><li> Control Testing / Thematic Review using an audit based methodology, to assess the effectiveness of the process design and the control environment</li><li> Incident Reporting along with Root Cause Analysis and closure for incidents reported</li><li> Operational risk event loss capturing, analysis and reporting</li><li> Prepare and present Heat map for risk areas and operational risk dashboards to senior management</li><li> Deliver Ad-Hoc Risk management projects as per defined timelines</li><li> Ensure timely reporting to Risk Management Committee and preparation of RMC deck</li><li> Monthly Governance with all stakeholders on Open risk points and action plan</li><li> To eliminate / minimise data leakage by deployment of relevant security tools</li><li> Overall responsible for Business Continuity Management (BCM) design and implementation across the organisation</li><li> Conduct training programs with relevant stakeholders on various Risk Management processes</li><li> Contribute towards creating Risk Awareness and Risk Management culture in the organization</li></ul><p><strong>REQUIRED QUALIFICATION AND SKILLS</strong></p><br><p><strong>Educational Qualifications:</strong></p><p>Post Graduate with relevant professional qualifications (e.g. CA / CIA / FRM / IRM / MBA/PGDM)</p><br><p><strong>Work Experience:</strong></p><p>3 5 years of relevant experience (SM / CM Level)</p><p>5 7 years of relevant experience (AVP Level)</p><p>Candidates with min. 2+ years of hands-on experience in managing Operational Risk profile and cross functional stakeholders preferably in Life Insurance Company</p><br><p>Please share your resume to <u><strong>kli.madhumita-nath@kotak.com </strong></u>or Call on <u><strong>8557016226.</strong></u></p><br><h4>Job Classification</h4><b>Industry: </b>Insurance</br><b>Functional Area: </b>Insurance</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Kotak Life Insurance</br><b>Location(s): </b>Mumbai</br><b><br /><br /><a href="https://indigojobs.in/job/641872/operational-risk-manager-ca-mumbai-kotak-at-kotak-life-insurance/">Apply</a><br />
https://indigojobs.in/job/641872/operational-risk-manager-ca-mumbai-kotak-at-kotak-life-insurance/
[Full Time] Operational Risk Manager - CA - Mumbai - Kotak at Kotak Life InsuranceWed, 20 Mar 2024 08:05:54 +0530<h4>Job Description</h4><br>Skill required:Transaction risk management - Anti-Money Laundering (AML) <br>Designation:Banking Operations Associate <br>Qualifications:BE <br>Years of Experience:3 to 5 years <br>What would you do?<br>To perform transaction monitoring investigation on cases escalated by the upstream process so as to determine and escalate / report any suspicious activity related to money laundering or terrorism financing and provide SME support. You will be working as a part of the Transaction risk management team which focuses on reviewing potential fraudulent/high-risk transactions and take necessary action on customer accounts as per defined client policy. The team screens KYC documents as applicable and determines the authenticity of the customer profile while also investigating fraud claims from customers and take required actions on customer accounts as per client policies. The Anti Money Laundering team focuses on articulating the business requirements and implement the process and system controls required to prevent moving illegally acquired cash through an organization's financial systems. The role requires a good understanding of anti-money laundry laws and regulations, client on-boarding, sanction screening, remediation, periodical reviews, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD). <li>Ability to understand Complex Regulatory and Compliance requirements within the retail banking space. </li><li>Transaction Monitoring experience and good knowledge of financial crime compliance within the global banking sector </li><li>Analytically sound to take decisions on whether an alert should be escalated for further investigation or close if further review is not warranted. </li><li>Sound knowledge required in Banking Laws and requirements like BSA/AML/KYC What are we looking for?</li><li>Ability to understand Complex legal entities and transactions between similar counterparties and be able to judge whether the transaction is suspicious. </li><li>Experience of working on systems like Actimize, Lexis Nexis, Adverse Media interpretation </li><li>Knowledge of banking products like Insurance, Annuities, Mortgages, loans, credit cards etc. </li><li>General awareness about money laundering trends and terrorism financing </li><li>Knowledge of regulations like banking secrecy act, USA Patriot Act, OFAC regulations, FinCEN (financial crimes enforcement network) etc. </li><li>Knowledge of sanctions, SARs (suspicious activity reports), CTRs (currency transaction reports) etc. </li><li>Knowledge of high-risk countries, businesses, PEPs (politically exposed persons) etc. </li><li>Advanced Proficiency required in English Language to create disposition narratives. </li><li>Perform assignments/deals/tasks of high complexity and resolving queries. </li><li>Basic domain knowledge about US Bank Regulatory challenges in transaction monitoring&subsequent risk management. </li><li>Minimum of 7 years of banking experience with 5 years in a transaction monitoring unit for a multinational retail bank </li><li>Bachelor's degree Education, Functional&Professional competencies (Includes Knowledge and Skills) Financial Crime compliance&Regulatory awareness within the global banking sector Basic Risk and Compliance Domain exposure MS Office Analytical Thinking Communication / Presentation Skills Multi-tasking / Time Management Ability to Learn Roles and Responsibilities: </li><li>Ensure internal compliance to Central Bank's AML regulations and Banks AML policy by accurate analysis and investigation of RFIs adhering to the laid down procedures. </li><li>To validate and provide feedback on RFIs which are being recommended for closure or SAR / Exit based on the investigation performed by the analysts in order to mitigate bank's ML risk. </li><li>Maintaining and providing of accurate MI as instructed on all aspects related to FCRM RFIs within the expected timelines. </li><li>Undertaking any testing requirements on the AML or related systems that is required on account of system enhancements/upgrades and ensuring that such tests are conducted accurately and within the prescribed deadlines working with business compliance and system management team. </li><li>Review policy and procedure and provide feedback for any changes. </li><li>Supervise the RFI team and guide them on cases to case basis to take appropriate action. </li><li>Obtain opinion from Unit Manager for conclusion of complex RFIs, as applicable. </li><li>Ensure accurate investigation of alerts and cases adhering to the laid down procedures. </li><li>Aiding the Group Compliance in ad-hoc Compliance projects and investigations. </li><li>Close alerts, cases where there are no suspicious or refer alerts to Business Compliance unit/s where further information is required, or assistance is required to take a decision due to the complexity of the issue. </li><li>Monitoring and mitigating risk in a timely and effective manner whilst keeping Senior Management, Compliance fully informed of action taken and the outcomes. </li><li>Timely recommending and concluding potential Suspicious Transaction for SAR to be reported to Central Bank. </li><li>Reviewing/investigating FCRM RFI assigned by the AML Manager daily and carrying out necessary follow- up with Branches and Business Units for the necessary information in a timely, professional, and efficient manner.</li><h4>Job Classification</h4><b>Industry: </b>IT Services & Consulting</br><b>Functional Area: </b>IT Services & Consulting</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Accenture</br><b>Location(s): </b>Noida, Gurugram</br><b><br /><br /><a href="https://indigojobs.in/job/639234/banking-operations-analyst-transaction-risk-at-accenture/">Apply</a><br />
https://indigojobs.in/job/639234/banking-operations-analyst-transaction-risk-at-accenture/
[Full Time] Banking Operations Analyst - Transaction risk at AccentureTue, 19 Mar 2024 10:33:06 +0530<h4>Job Description</h4>Ensure to develop, implement, oversee the compliance framework and testing program to ensure adherence to regulatory requirements and internal policies with effectiveness of compliance controls and procedures through testing and monitoring activity.<h4>Job Classification</h4><b>Industry: </b>NBFC</br><b>Functional Area: </b>NBFC</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Acura Solutions</br><b>Location(s): </b>Mumbai</br><b><br /><br /><a href="https://indigojobs.in/job/637797/compliance-framework-and-testing-for-a-at-acura-solutions/">Apply</a><br />
https://indigojobs.in/job/637797/compliance-framework-and-testing-for-a-at-acura-solutions/
[Full Time] Compliance Framework and Testing - For a at Acura solutionsSun, 17 Mar 2024 09:05:06 +0530<h4>Job Description</h4><ul><li>Experience in Indian Capital Market. </li><li> Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance </li><li>actions (Equity, F&O, Currency, SLBM, IRF, Commodity). </li><li> Supervise routine activities as per defined SOP and TAT. </li><li> Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which </li><li>require detailed analysis/ investigation and initiate action, if warranted. </li><li> conduct various type of investigation to prevent / detect suspected market irregularities and </li><li>initiate appropriate escalations and actions. </li><li> Prepare detailed investigation reports on suspected market irregularities. </li><li> Ensure compliance of SEBI/Regulatory frameworks, orders, and corresponding actions </li><li> Attend internal and external statutory and regulatory audits and compliances. </li><li> Improve operational efficiencies by process improvements, initiating business requirements, </li><li>software testing and new features / functional release implementations. </li><li> Coordinate with regulators for preparing / reviewing various policies and circulars, SOPs, user </li><li>manuals used for various surveillance actions. </li><li> In depth knowledge of Capital, Financial and Commodity Markets and various regulatory </li><li>frameworks. </li><li> Functioning of surveillance systems, processing of various surveillance alerts, and taking them to </li><li>logic conclusion / investigation. </li><li> Various applicable Regulations applicable to MIIs i.e. SAST, PIT, PFUTP, PMLA, AML, FIU, LODR, </li><li>ICDR etc. </li><li> Microsoft applications such as MS Windows, word, Excel, PPT etc. </li><li> Technically proficient in Softwares / applications used for Surveillance related activities.</li><li></li></ul><h4>Job Classification</h4><b>Industry: </b>Financial Services (Broking)</br><b>Functional Area: </b>Financial Services (Broking)</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Leading Stock Exchange</br><b>Location(s): </b>Mumbai</br><b><br /><br /><a href="https://indigojobs.in/job/636096/senior-manager-manager-surveillance-at-leading-stock-exchange/">Apply</a><br />
https://indigojobs.in/job/636096/senior-manager-manager-surveillance-at-leading-stock-exchange/
[Full Time] Senior Manager/Manager - Surveillance at Leading Stock ExchangeFri, 15 Mar 2024 11:19:07 +0530<h4>Job Description</h4><p>What youll be doing :</p><ul><li>Review of documentation for customers/entities such as individuals/charities/institutions/ corporations as per policy/ jurisdiction of all KYC/ CDD documentation and raising request for information/document required as per procedure</li><li>Conduct Enhanced Due Diligence and Screening while highlighting procedural requirements if there is any defect</li><li>Complete review in a timely and efficient manner</li><li>Make recommendations on process improvements to increase efficiency and accuracy</li><li>Maintain awareness of regulatory updates and incorporate process and procedural changes in the due diligence review process</li><li>Tackle routine problems, largely through precedent and referral to general guidelines</li></ul><br><p>Job Requirements):</p><ul><li>Years of experience: minimum 1 year of compliance experience (Know Your Customer [KYC] Enhanced Due Diligence [EDD])</li><li>B.A./B.S. degree or equivalent</li><li>Knowledge of on-boarding checks, entity types and AML/KYC laws,guidelines (e.g. BSA, OFAC, FinCEN guidance)</li><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li>Organized with a High level of attention to detail</li><li>100% Work from Office</li></ul><br><h4>Job Classification</h4><b>Industry: </b>IT Services & Consulting</br><b>Functional Area: </b>IT Services & Consulting</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Contract</br><h4>Contact Details:</h4><b>Company: </b>Trigent Software</br><b>Location(s): </b>Hyderabad</br><b><br /><br /><a href="https://indigojobs.in/job/635927/compliance-analyst-hyderabad-secunderabad-at-trigent/">Apply</a><br />
https://indigojobs.in/job/635927/compliance-analyst-hyderabad-secunderabad-at-trigent/
[Contract] Compliance Analyst - Hyderabad / Secunderabad at TrigentFri, 15 Mar 2024 05:41:38 +0530<h4>Job Description</h4><p>Assistant Manager</p><p>Total Exp - 8 + years</p><p>Location - Malad, Mumbai (Work from Office)</p><p>Shift - 12.30 pm -10 Pm (UK shift)</p><br><p><strong>If Interested, Apply here: https://forms.gle/D65TkQjkGwRQGFLy7</strong></p><br><p>JD:</p><p> Conduct Process Audit , Compliance Audit and Information Security audit as per the schedule outlines in the annual calendar</p><p> Preparing Standard Operating Procedures for key business processes (e.g. Payroll, Leave Management, Financial, Operations, etc.) to effectively increase productivity of capex/ opex.</p><p> Validating the audit conclusions with the Operations team and / or auditee and ensuring factual accuracy</p><p> Drafting the audit report and obtaining feedback from the team leader and IA Sr. Managers approval</p><p> Reviewing the audit report for accuracy of data, language and clarity and discussing the report with the Audit Senior Manager before submission to Audit Committee and Senior Management</p><p> Conduct MSA review and present the final assessment report to Sr. Management</p><p> Identifying key risk areas through business process mapping and soliciting inputs from auditees as needed</p><p> Review the Risk Framework periodically with management by identifying new risk and evidence the action plan on the existing risk through CRSA methodology and ensure that Risk register is updated and enhanced as per industry standards</p><p> Prepare the India CC for any External audits and ensure clean audit report by reviewing thoroughly all the processes and assess the control environment</p><p> Preparing the Risk Control Matrix (RCM) for the Operations processes and incorporating suggestions for improving efficiency</p><p> Facilitating the implementation of the annual risk assessment ensuring all key risks (Financial/ Legal/) are assessed and recommending internal control improvements that may include operational enhancements or efficiencies</p><p> Must have thorough knowledge and experience of industry and government regulations, compliance and business operating practices in the finance and ITes industry (Business Processing Outsourcing)</p><p> Must have working knowledge of the Companys Act, Income Tax Act, Accounting Standards and Standard Audit Practices to make assessments and recommendations to client in terms of policy change, design and implementing new processes & systems, carrying out internal trainings and certifications for employees, etc.</p><p> Must maintain a current knowledge base of Audit industry practices and ensure best practices are always considered within the company</p><br><h4>Job Classification</h4><b>Industry: </b>IT Services & Consulting</br><b>Functional Area: </b>IT Services & Consulting</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Tech Mahindra</br><b>Location(s): </b>Mumbai</br><b><br /><br /><a href="https://indigojobs.in/job/634510/risk-compliance-manager-mumbai-suburbs-at-tech-mahindra/">Apply</a><br />
https://indigojobs.in/job/634510/risk-compliance-manager-mumbai-suburbs-at-tech-mahindra/
[Full Time] Risk & Compliance Manager - Mumbai Suburbs at Tech MahindraWed, 13 Mar 2024 22:47:05 +0530<h4>Job Description</h4><br><p><strong>Brief Description:</strong></p><p>Ensure the organization's compliance with applicable laws regulating their industry (e.g., government, energy, financial services, manufacturing, healthcare). Review organization's business practices to ensure pertinent regulations are followed, identify areas of non-compliance, and create a plan to implement changes as needed. Maintain a deep knowledge of regulations and stay abreast of all regulatory changes relevant to industry and organization. Review marketing materials to ensure they do not violate truth in advertising or ethics laws. Assist in the development of compliance training programs.</p><p><strong>Responsibilities:</strong></p><ul><li>Perform operational activities in the execution of Data Intensity audits including Data Intensity Internal Security and Financial audits as well as external SOC1, SOC2, ISO27001 audits. </li><li>Participate in the design of new controls to satisfy company objectives. </li><li>Collection of evidence based on documented procedures. </li><li>Review of evidence against defined controls identifying exceptions. </li><li>Performing escalations to compliance lead when clarification is needed. </li><li>Coordinate with technical teams in the collection of evidence provided by them. </li><li>Perform scheduled reviews of key internal controls outside of audit periods. </li><li>Work with control owners to identify acceptable remediations activities for identified exceptions and confirm execution of the remediations. </li><li>Work with technical teams to establish documented guidelines for the collection of evidence by the compliance team. </li><li>Perform day-to-day compliance activities in response to internal and customer requests. </li><li>Work with external auditors for the coordination of audit activities and the upload of required evidence and response to their questions. </li><li>Provide support in the evaluation, tracking and maintenance of customer contractual requirements. </li><li>Perform operational IT and Vendor Risk Management activities including the evaluation of internal and vendor risk questionnaires. </li><li>Participate as a member of the Privacy team performing operational and audit tasks to maintain and improve upon the Data Intensity Privacy Program which includes GDPR, HIPAA and the CCPA. </li><li>Serve as a member of the Data Intensity Global Risk Program team. </li><li>Assist in the development, update, and enhancements on operational documentation in support of compliance, risk and privacy activities. </li><li>Other duties as assigned </li></ul><p><strong>Skills:</strong></p><ul><li>Strong background in MS Office Suite, particularly in Word, Excel and PowerPoint. </li><li>Working knowledge of the audit lifecycle and related activities required and <strong>ServiceNow ticketing tool is an added advantage.</strong> </li><li>Demonstrated knowledge of compliance frameworks desired but not required including SOC1/2, ISO (27000 series), latest PCI-DSS, GDPR, Privacy Shield and HIPAA </li></ul><p><strong>Education / Experience:</strong></p><ul><li>4+ years of relevant experience </li><li>4-year college degree preferred </li><li><strong>Mandatory to have ISO27001 Lead Auditor or Lead Implementor or equivalent certifications preferred. </strong> </li><li><strong>Compliance certifications like CISA and CRISC are an added advantage. </strong> </li></ul><p>This role may require access to customer environments as a means of providing the necessary support to resolve an issue or inquiries into performance-related issues, or for periodic maintenance and management of the systems. In some instances, these environments may contain Personally Identifiable Information (PII) (e.g., such as HIPAA-related Personal Health Information PHI) and Payment Card Information (PCI). Personnel are expected to adhere to the highest standards of ethics and professionalism in protecting PII. </p><p><strong>Brief Description:</strong></p><p>Ensure the organization's compliance with applicable laws regulating their industry (e.g., government, energy, financial services, manufacturing, healthcare). Review organization's business practices to ensure pertinent regulations are followed, identify areas of non-compliance, and create a plan to implement changes as needed. Maintain a deep knowledge of regulations and stay abreast of all regulatory changes relevant to industry and organization. Review marketing materials to ensure they do not violate truth in advertising or ethics laws. Assist in the development of compliance training programs.</p><p><strong>Responsibilities:</strong></p><ul><li>Perform operational activities in the execution of Data Intensity audits including Data Intensity Internal Security and Financial audits as well as external SOC1, SOC2, ISO27001 audits. </li><li>Participate in the design of new controls to satisfy company objectives. </li><li>Collection of evidence based on documented procedures. </li><li>Review of evidence against defined controls identifying exceptions. </li><li>Performing escalations to compliance lead when clarification is needed. </li><li>Coordinate with technical teams in the collection of evidence provided by them. </li><li>Perform scheduled reviews of key internal controls outside of audit periods. </li><li>Work with control owners to identify acceptable remediations activities for identified exceptions and confirm execution of the remediations. </li><li>Work with technical teams to establish documented guidelines for the collection of evidence by the compliance team. </li><li>Perform day-to-day compliance activities in response to internal and customer requests. </li><li>Work with external auditors for the coordination of audit activities and the upload of required evidence and response to their questions. </li><li>Provide support in the evaluation, tracking and maintenance of customer contractual requirements. </li><li>Perform operational IT and Vendor Risk Management activities including the evaluation of internal and vendor risk questionnaires. </li><li>Participate as a member of the Privacy team performing operational and audit tasks to maintain and improve upon the Data Intensity Privacy Program which includes GDPR, HIPAA and the CCPA. </li><li>Serve as a member of the Data Intensity Global Risk Program team. </li><li>Assist in the development, update, and enhancements on operational documentation in support of compliance, risk and privacy activities. </li><li>Other duties as assigned </li></ul><p><strong>Skills:</strong></p><ul><li>Strong background in MS Office Suite, particularly in Word, Excel and PowerPoint. </li><li>Working knowledge of the audit lifecycle and related activities required and <strong>ServiceNow ticketing tool is an added advantage.</strong> </li><li>Demonstrated knowledge of compliance frameworks desired but not required including SOC1/2, ISO (27000 series), latest PCI-DSS, GDPR, Privacy Shield and HIPAA </li></ul><p><strong>Education / Experience:</strong></p><ul><li>4+ years of relevant experience </li><li>4-year college degree preferred </li><li><strong>Mandatory to have ISO27001 Lead Auditor or Lead Implementor or equivalent certifications preferred. </strong> </li><li><strong>Compliance certifications like CISA and CRISC are an added advantage. </strong> </li></ul><p>This role may require access to customer environments as a means of providing the necessary support to resolve an issue or inquiries into performance-related issues, or for periodic maintenance and management of the systems. In some instances, these environments may contain Personally Identifiable Information (PII) (e.g., such as HIPAA-related Personal Health Information PHI) and Payment Card Information (PCI). Personnel are expected to adhere to the highest standards of ethics and professionalism in protecting PII. </p><p><strong>Brief Description:</strong></p><p>Ensure the organization's compliance with applicable laws regulating their industry (e.g., government, energy, financial services, manufacturing, healthcare). Review organization's business practices to ensure pertinent regulations are followed, identify areas of non-compliance, and create a plan to implement changes as needed. Maintain a deep knowledge of regulations and stay abreast of all regulatory changes relevant to industry and organization. Review marketing materials to ensure they do not violate truth in advertising or ethics laws. Assist in the development of compliance training programs.</p><p><strong>Responsibilities:</strong></p><ul><li>Perform operational activities in the execution of Data Intensity audits including Data Intensity Internal Security and Financial audits as well as external SOC1, SOC2, ISO27001 audits. </li><li>Participate in the design of new controls to satisfy company objectives. </li><li>Collection of evidence based on documented procedures. </li><li>Review of evidence against defined controls identifying exceptions. </li><li>Performing escalations to compliance lead when clarification is needed. </li><li>Coordinate with technical teams in the collection of evidence provided by them. </li><li>Perform scheduled reviews of key internal controls outside of audit periods. </li><li>Work with control owners to identify acceptable remediations activities for identified exceptions and confirm execution of the remediations. </li><li>Work with technical teams to establish documented guidelines for the collection of evidence by the compliance team. </li><li>Perform day-to-day compliance activities in response to internal and customer requests. </li><li>Work with external auditors for the coordination of audit activities and the upload of required evidence and response to their questions. </li><li>Provide support in the evaluation, tracking and maintenance of customer contractual requirements. </li><li>Perform operational IT and Vendor Risk Management activities including the evaluation of internal and vendor risk questionnaires. </li><li>Participate as a member of the Privacy team performing operational and audit tasks to maintain and improve upon the Data Intensity Privacy Program which includes GDPR, HIPAA and the CCPA. </li><li>Serve as a member of the Data Intensity Global Risk Program team. </li><li>Assist in the development, update, and enhancements on operational documentation in support of compliance, risk and privacy activities. </li><li>Other duties as assigned </li></ul><p><strong>Skills:</strong></p><ul><li>Strong background in MS Office Suite, particularly in Word, Excel and PowerPoint. </li><li>Working knowledge of the audit lifecycle and related activities required and <strong>ServiceNow ticketing tool is an added advantage.</strong> </li><li>Demonstrated knowledge of compliance frameworks desired but not required including SOC1/2, ISO (27000 series), latest PCI-DSS, GDPR, Privacy Shield and HIPAA </li></ul><p><strong>Education / Experience:</strong></p><ul><li>4+ years of relevant experience </li><li>4-year college degree preferred </li><li><strong>Mandatory to have ISO27001 Lead Auditor or Lead Implementor or equivalent certifications preferred. </strong> </li><li><strong>Compliance certifications like CISA and CRISC are an added advantage. </strong> </li></ul><p>This role may require access to customer environments as a means of providing the necessary support to resolve an issue or inquiries into performance-related issues, or for periodic maintenance and management of the systems. In some instances, these environments may contain Personally Identifiable Information (PII) (e.g., such as HIPAA-related Personal Health Information PHI) and Payment Card Information (PCI). Personnel are expected to adhere to the highest standards of ethics and professionalism in protecting PII. </p><br><h4>Job Classification</h4><b>Industry: </b>IT Services & Consulting</br><b>Functional Area: </b>IT Services & Consulting</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Data Intensity</br><b>Location(s): </b>Hyderabad</br><b><br /><br /><a href="https://indigojobs.in/job/641191/senior-compliance-specialist-hyderabad-at-data-intensity/">Apply</a><br />
https://indigojobs.in/job/641191/senior-compliance-specialist-hyderabad-at-data-intensity/
[Full Time] Senior Compliance Specialist - Hyderabad at Data IntensityMon, 11 Mar 2024 12:00:00 +0530<h4>Job Description</h4><p><strong>Role & responsibilities</strong> </p><p>We need a candidate for Bureau Reporting/MIS preparation. The said person will be responsible for :</p><p>1. Regulatory bureau reporting, daily communication with Bureau, resolving customer issues with regards to bureau reporting, automation/development of bureau reporting with IT.</p><p>2. Collaborate with cross-functional teams to gather requirements, design reports, and implement solutions.</p><p>3. Develop and maintain management information systems to support the organization's reporting needs.</p><p>4. Generate regular and ad-hoc reports for various stakeholders, including management, clients, and regulatory bodies.</p><br><p><strong>Preferred candidate profile</strong> </p><p>Educational background - Any graduate with 3-4 years of experience in a similar area in Banking/NBFC industry.</p><br><br><br><br><br><h4>Job Classification</h4><b>Industry: </b>NBFC</br><b>Functional Area: </b>NBFC</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>IIFL Finance</br><b>Location(s): </b>Mumbai</br><b><br /><br /><a href="https://indigojobs.in/job/634398/analyst-mumbai-all-areas-iifl-finance-at-iifl-finance/">Apply</a><br />
https://indigojobs.in/job/634398/analyst-mumbai-all-areas-iifl-finance-at-iifl-finance/
[Full Time] Analyst - Mumbai (All Areas) - IIFL Finance at IIFL FinanceWed, 06 Mar 2024 12:00:00 +0530<h4>Job Description</h4><p><strong>Role & responsibilities</strong> </p><ul><li>Assist in formulating and implementing a company-wide program for corporate security audits and trainings.</li><li>Prepare and present the annual security audits and training plan to Head BCM and Security Audits & Lead Security Audits & Training and execute it as per approved plan, with periodic reporting on progress and deviations from plan, if any</li><li>Ensure timely and accurate identification, assessment, mitigation and monitoring of current security audit risks, residual risks and offer country/region wise risk registers to the management, along with regular dashboards and metrics for improvement monitoring.</li><li>Identify gaps in risk treatment/execution of mitigating controls and collaborate with other team members and functional representatives, to bring these risks within acceptable levels. Wherever required, use security awareness and training as tools to create risk awareness and improve the security posture across business regions.</li><li>Ensure audit compliance with client security requirements, corporate security and organizational policies and procedures applicable to the role</li><li>Ensure that all security audit related Service Level Agreements (SLAs) are met & contractual obligations complied to, with deviations reported through the Incident Reporting and Management Framework.</li><li>Ensure development of the security audit program by enabling Corporate Security team members by providing them with job-aids, training & awareness materials, templates and consultation, as and when required.</li><li>Send regular security audit MIS reports on Key Performance Indicators (KPIs), deviations (if any), corrective measures taken and estimate time of closure. Assist in creation of cost-benefit analysis or business case required for management review.</li><li>Review security audit reports and take corrective actions. Perform Root Cause Analysis (RCA) and institute preventive actions, to avoid recurrence.</li><li>Formulate and calibrate the security audit strategy on at least a half yearly basis, in alignment with changing business needs, client security requirements and threat environment.</li><li>Account for the budgets related to the security audit program, including any carry overs, or justifications required for budget enhancement. Collaborate with Regional & Central finance and MIS teams to ensure that security audit budgets are utilized within acceptable levels of deviation.</li><li>Ensure that security audit reports are completed as per deadlines, are actionable & meet quality parameters for reporting.</li><li>Assist in development of the security audit program by introducing new categories of security audits, automating and digitizing auditing tools/templates, checklists, policies/procedures or guidelines, dashboards and other MIS reporting.</li><li>Collaborate with operations, other enabling units, service providers/vendors towards the fulfillment of goals of the security audit program. Devise ways to improve return on security investment, increase efficiency, effectiveness and cost-savings through innovation.</li></ul><p><strong>Qualification & Experience (Education, Experience, specific knowledge, skills, understanding, attitude)</strong></p><br><p><strong>Education:</strong> Minimum: Graduate or global equivalent degree</p><p>Additional: Post graduate degree/ MBA or global equivalent degree,</p><p> prior experience in Fraud Management is desired.</p><p><strong>Experience:</strong> 8-10 years of relevant experience of which 6-8 years of audit experience is required.</p><ul><li>Hands on experience on audit lifecycle management</li><li>An audit related certification such as Lead Auditor on a security/risk related ISO standard (such as ISO 27001 /ISO 31000/ISO 37001), CISA, CIA.</li><li>In-depth knowledge and understanding of systems and processes.</li><li>Experience in facing internal and external certification audits is an added advantage</li><li>Running security training programs in a large organization is an added advantage</li></ul><br><br><h4>Job Classification</h4><b>Industry: </b>Travel & Tourism</br><b>Functional Area: </b>Travel & Tourism</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>VFS Global</br><b>Location(s): </b>Delhi, NCR</br><b><br /><br /><a href="https://indigojobs.in/job/634634/security-audits-and-training-sr-manager-at-vfs-global/">Apply</a><br />
https://indigojobs.in/job/634634/security-audits-and-training-sr-manager-at-vfs-global/
[Full Time] Security Audits and Training - Sr. Manager at VFS GlobalWed, 06 Mar 2024 12:00:00 +0530<h4>Job Description</h4><p>Hi</p><p><br><br>We are looking for Control Management Specialist for Hyderabad, Bangalore, Chennai, Location with Key skill, Control Testing /Operational Risk Management/Internal Audit<br><br><br>If your profile is matching with Below Job Description, please share your updated profile along with below details. <br><br><br>Below are Mandatory Details Please <br>Your Full Name:<br>Current Work Location:<br>Candidate's preferred work location (Flexible)(HYD/BLR/Chennai)<br>Current CTC:<br>Expected CTC:<br>Notice Period:<br>Do you have any job change in the last 12 months if yes Reason?<br>Educational Qualification (Mandatory):<br>Overall Experience (in Years)<br>Relevant Experience (Control Testing /Operational Risk Management/Internal Audit) <br><br><br>Shift: 1:30PM to 10:30PM<br>RTO Days: 3 Day.<br>Skills (Examples of skills: Excel expertise, Presentation skills VBA, analytics, Reporting, experience in Automation/Simplification such as Lean/Six Sigma)<br><br><br>Desired Qualifications:<br></p><ul><li>Bachelor's degree or higher. Relevant certifications will be an advantage.</li><li>Overall experience of 5+ years with 2 years of relevant experience in Financial Services industry and / or risk & control domains covering operational risk, controls testing / evaluation, compliance, internal audit, risk management etc.</li><li>Experience in automation / advanced excel / reporting will be an advantage.</li><li>General knowledge of industry standards and best practices around control evaluations / testing, internal audit, and risk management processes.</li><li>Experience creating test questions or test scripts. </li><li>Experience assessing control design and performance through testing, audit, or Risk Control Self-Assessment practices.</li><li>Experience assessing processes, procedures and identifying controls.</li><li>Experience in assessing risk, reviewing risk ratings, identifying control gaps, and determining the appropriate evaluation methodology.</li></ul><p><br>Job Expectations:<br></p><ul><li>Individual contributor role focusing on performing evidence-based control evaluations by conducting various evidence gathering activities.</li><li>Design, maintain and execute the control evaluation scripts, identify control deficiencies, document, and escalate potential issues to appropriate stakeholders.</li><li>Validate & track action plans, escalate issues as required and document the control test artifacts and findings.</li><li>Perform control evaluations for moderate to complex engagements, challenge status-quo and identify opportunities to add efficiencies or refining the existing processes.</li><li>Engage and work with multiple stakeholders - front line business groups, risk program aligned functions and IRM teams for driving the objectives of risk and control programs.</li><li>Instill and drive proactive risk culture, operational excellence, and efficiencies.</li><li>Comprehensive understanding of operational risk management in the financial services or other highly regulated industries</li><li>Strong analytical skills with high attention to detail and accuracy.</li><li>Excellent verbal, written, interpersonal communication skills and stakeholder management.</li><li>Demonstrate positive attitude and readiness to work in a challenging and dynamic environment.</li><li>Flexibility to multitask and work across domains and business groups.</li><li>Ability to credibly challenge, conduct tough conversations and effectively communicate with various levels of management.</li><li>Ability to synthesize data from a variety of sources and deliver results quickly.</li></ul><br><h4>Job Classification</h4><b>Industry: </b>Financial Services</br><b>Functional Area: </b>Financial Services</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Wells Fargo</br><b>Location(s): </b>Hyderabad</br><b><br /><br /><a href="https://indigojobs.in/job/634432/control-management-specialist-hyderabad-at-wells-fargo/">Apply</a><br />
https://indigojobs.in/job/634432/control-management-specialist-hyderabad-at-wells-fargo/
[Full Time] Control Management Specialist- Hyderabad at Wells FargoTue, 05 Mar 2024 12:00:00 +0530<h4>Job Description</h4><p> <strong><u>Roles and Responsibilities:</u></strong> <br></p><p>Collaborate with business stakeholders to implement the organisation's operational risk management <br>framework for proactive identification and management of operational risks in a consistent manner. <br>Review of Product and Process notes from operational risks perspective. <br>Conducting RCSA for various business units of the organization. <br>Identifying risk in various processes, mitigating with controls and updating risk registers. <br>Track all identified open issues along with an action plan in the system for timely closure. <br>Review and develop Key Risk Indicators and ensure quality of remediation for KRI breaches. <br>Conduct root cause analysis (RCA) of reported loss/near miss incidents and develop corrective and <br>preventive action. <br>Proactive involvement in various projects, thematic reviews and assist in preparation of deck with respect <br>to ORMC/other reporting to senior management. <br>Develop good rapport with 1st line of defense and assist in risk mitigation plans. <strong>Secondary Responsibilities:</strong> <br>Working on various projects and actionable as and when advised by the senior management <br>Working on various internal projects to enhance the productivity of the department. <br>Working on automation of the control testing <br>Suggesting and implementing the best industry practices</p><br><br><h4>Job Classification</h4><b>Industry: </b>NBFC</br><b>Functional Area: </b>NBFC</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Freshers</br><h4>Contact Details:</h4><b>Company: </b>IIFL Finance</br><b>Location(s): </b>Mumbai</br><b><br /><br /><a href="https://indigojobs.in/job/634491/operational-risk-manager-frm-fresher-can-at-iifl-finance/">Apply</a><br />
https://indigojobs.in/job/634491/operational-risk-manager-frm-fresher-can-at-iifl-finance/
[Freshers] Operational Risk Manager / FRM Fresher Can at IIFL FinanceTue, 05 Mar 2024 12:00:00 +0530<h4>Job Description</h4><p> </p><p><strong>About the Business</strong></p><p>Fiserv, Inc. (NASDAQ: FISV) aspires to move money and information in a way that moves the world. As a global leader in payments and financial technology, the company helps clients achieve best-in-class results through a commitment to innovation and excellence in areas including account processing and digital banking solutions; card issuer processing and network services; payments; e-commerce; merchant acquiring and processing; and the Clover cloud-based point-of-sale and business management platform. Fiserv is a member of the S&P 500 Index and one of <em>Fortune</em> Worlds Most Admired Companies. </p><p><strong>Job Description - Scheme Compliance Manager</strong></p><br><p><strong>Location : Thane (Mumbai)</strong></p><p><strong>What does a Scheme Compliance Manager role look like?</strong></p><p>The Scheme Compliance Manager will oversee all card scheme compliance matters within APAC. You will provide leadership and guidance to various levels in the APAC business unit in delivering and effectively supporting regulatory of the scheme programs, processes and procedures.</p><p>You will ensure the product portfolios remain compliant with the scheme rules and regulations. </p><br><p><strong>Responsibilities:</strong></p><br><p><strong><u>Compliance Management</u></strong></p><ul><li>Manage Card Scheme rules and Network/Industry requirement and notify stakeholders of any scheme rule changes new mandates</li><li>Administer notifications to stakeholders and work non- compliance issues and remediation plans </li><li>Respond to waiver requests to appeal for waivers of non- compliance and escalate rejected waiver requests to management for further negotiation with the scheme and Network/Industry bodies to ensure all means available for recourse have been exhausted</li><li>Organise workshops/training between Fiserv and Scheme as well as Network/Industry bodies on new products and mandates</li><li>Mange stakeholders across functions to answer their queries on rules for risk/MCC assignment, pricing, merchant business models, registration requirements etc.</li><li>Set up new BIN/ICA/Acquirer Institution Numbers (AINs) for new Banks and provide ongoing services between Fiserv and Schemes as well as Network/Industry bodies between entities</li><li>Manage registration of 3rd party service providers for all schemes and PCI certificate renewals for third party partners for scheme compliance requirements</li><li>Support audit processes and ensure timely and accurate response to inquiries.</li><li>Global/ Regional/Local Scheme SME on COVID Issues - work across regions or locally to ensure the support received from schemes as well as Network/Industries bodies is aligned and customized also depending on impacts to individual markets</li><li>Provide support to both internal and external stakeholders for the bi-annual Scheme Compliance Release</li><li>Co-ordinate between internal and external stakeholders in support of Regulatory requirements</li><li>Support for FDNA issuing clients to certify the chip on their cards and raise requests artwork/branding approvals when issuing new cards</li><li>Attend Network/Industry meetings and follow up tasks to/from both internal and external stakeholder</li><li>Manage library of compliance rules </li><li>Managing scheme branding requirements for terminals and merchant websites<br> </li></ul><p><strong><u>Business Development</u></strong></p><ul><li>Network Partnership Management - Actively engage in scheme and Network/Industry meetings to review Fiservs support requirements </li><li>Identify first mover opportunities in the market with schemes to improve our go to market strategies as an organization and at the same time deepen the our partnerships</li><li>Manage all scheme referral opportunities and facilitate discussions between the appropriate teams to develop new partnerships </li><li>Engage with the business to understand market specific requirements and introduce scheme products to enhance our overall product offerings to clients</li><li>Support for new products identified for 2021</li><li>Mange new scheme integration into Fiserv along with new compliance requirements for Discover Network for selected regions </li><li>Co-ordinate new Issuer Processing Opportunities between schemes and Fiserv</li><li>Manage scheme incentives/sponsorship opportunities for new scheme products integrating with Fiserv</li></ul><br><p><strong><u>Requirements:</u></strong></p><ul><li>Minimum 10 years of relevant working experience in <strong>Payments/Cards</strong> industry</li><li>In-depth knowledge of the <strong>Card Scheme</strong> standards/processes and regulations</li><li>Excellent communication to connect with internal and external stakeholders</li><li>Good reporting procedures and record keeping</li><li>Demonstrate strong analytical, written and verbal communication skills</li><li>Proven track record in handling regional and country operation</li><li>Able to handle complex problem solving and decision-making ability </li><li>Effective individual contributor and team player</li><li>Graduate degree</li></ul><h4>Job Classification</h4><b>Industry: </b>FinTech / Payments</br><b>Functional Area: </b>FinTech / Payments</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Fiserv</br><b>Location(s): </b>Multi-City, India</br><b><br /><br /><a href="https://indigojobs.in/job/636091/scheme-compliance-manager-navi-at-fiserv/">Apply</a><br />
https://indigojobs.in/job/636091/scheme-compliance-manager-navi-at-fiserv/
[Full Time] Scheme Compliance Manager - Navi at FiservMon, 26 Feb 2024 12:00:00 +0530<h4>Job Description</h4><div> <p> The individual needs to work on mandate monitoring for EMEA accounts and manage both pre-trade/post-trade alerts primarily. </p> <p> <b> Key Responsibilities </b> </p> <ul> <li> Pre-trade monitoring to approve Orders/Trades getting the block on the system where applicable post the required validation. </li> <li> Also, Monitoring Investment compliance blocks at a post trade level daily within the deadline. </li> <li> This includes monitoring Firm, Regulatory client guidelines. </li> <li> Pre-trade and Post-trade investment guideline exception investigation resolution </li> <li> Working closely with portfolio management and other partners to ensure portfolio compliance </li> <li> Manual test execution </li> <li> Identification of investment guideline coding issues </li> <li> Investigating or troubleshooting potential errors when needed </li> <li> Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible improvements to systems or processes. </li> </ul> <p> <b> Required Qualifications: </b> </p> <ul> <li> <span> <span> 3-8 years of Investment Compliance experience </span> </span> </li> <li> Understanding of Investment Company Act of 1940, Investment Advisors Act, U.K. and European regulatory framework, such as various UCITS rules </li> <li> Strong understanding of financial markets, investment vehicles and asset classes </li> <li> Working understanding of Microsoft Office tools such as Excel, PowerPoint and Word. </li> <li> Excellent relationship and communication skills </li> <li> Excellent analytical and research skills </li> <li> Strong interpersonal skills with a client focus </li> <li> Strong organizational skills and attention to details are needed </li> </ul> <p> <b> Preferred Qualifications </b> </p> <ul> <li> <span> <span> Hands on experience on any OMS platform preferably ALADDIN </span> </span> </li> </ul> </div><h4>Job Classification</h4><b>Industry: </b>Financial Services</br><b>Functional Area: </b>Financial Services</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Ameriprise Financial</br><b>Location(s): </b>Noida, Gurugram</br><b><br /><br /><a href="https://indigojobs.in/job/638804/compliance-lead-noida-ameriprise-financial-at-ameriprise/">Apply</a><br />
https://indigojobs.in/job/638804/compliance-lead-noida-ameriprise-financial-at-ameriprise/
[Full Time] Compliance Lead - Noida - Ameriprise Financial at AmeripriseTue, 06 Feb 2024 12:00:00 +0530<h4>Job Description</h4><div> <p> Marketing Material Reviewer- Reviewing public communications such as Articles, Interviews, Advisors Biographies, Social Media Post, Factsheet, Mutual Fund statements etc. to ensure that all the information is compliant as per the regulators. </p> <p> <span> <span> <b> Key Responsibilities </b> </span> </span> </p> <ul> <li> <p> Review of marketing and advertising materials consistently to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, NFA, GIPS), industry standards and internal company policy during communications review. </p> </li> <li> <p> <span> Establish and maintain relationships with business partners and foster/promote a culture of compliance, and provide guidance to marketing relating to applicable rules and regulations on BAU materials, new initiatives, products and campaigns. </span> </p> </li> <li> <p> <span> Develop a keen sense for assisting in continuously assessing and communicating compliance risks, suggestions for improvements and create consensus among department leaders and business unit leaders, as applicable. </span> </p> </li> <li> <p> <span> Build knowledge of and stay up to date on regulatory and industry changes and assist in the development of impact assessment and summary communication for his/her business partners. </span> </p> </li> <li> <p> <span> Work collaboratively with appropriate Legal or Compliance SME when there are questions about the interpretation of regulations or internal policies. Identify materials needing substantive legal or compliance review and circulate to the proper reviewer. </span> </p> </li> <li> <p> <span> Review to ensure product and strategies material is fair, balanced and complete in support of business growth initiatives. </span> </p> </li> <li> <p> Build knowledge specific to product and strategies. </p> </li> <li> <p> Designate whether FINRA filing is required on each file reviewed. </p> </li> <li> <p> Work with Submitter and/or content owner to resolve any FINRA comments and document action taken in the file. </p> </li> <li> <p> Work on projects as assigned, including implementing and updating policies and procedures as they relate to areas of responsibility. </p> </li> </ul> <p> <span> <span> <b> Required Qualifications </b> </span> </span> </p> <ul> <li> Graduate from a tier 1 university with minimum 8 years of experience <br> skills. </li> <li> <span> <span> Understanding of Investment Company Act of 1940 </span> </span> </li> <li> <span> <span> Hands on experience in reviewing broker dealer materials for compliance with regulatory requirements </span> </span> </li> <li> <span> <span> Excellent English speaking and writing </span> </span> </li> <li> <span> <span> Experience in working with a multi-national organization with multiple </span> </span> stakeholder. </li> </ul> </div><h4>Job Classification</h4><b>Industry: </b>Financial Services</br><b>Functional Area: </b>Financial Services</br><b>Role Category: </b>Risk Management & Compliance - Other </br><b>Role: </b>Risk Management & Compliance - Other</br><b>Employement Type: </b>Full time</br><h4>Contact Details:</h4><b>Company: </b>Ameriprise Financial</br><b>Location(s): </b>Noida, Gurugram</br><b><br /><br /><a href="https://indigojobs.in/job/638805/compliance-lead-ind-noida-ameriprise-at-ameriprise/">Apply</a><br />
https://indigojobs.in/job/638805/compliance-lead-ind-noida-ameriprise-at-ameriprise/
[Full Time] Compliance Lead IND - Noida - Ameriprise at AmeripriseFri, 12 Jan 2024 12:00:00 +0530