Compliance Quality Performance Reviewer

Associate 2- Compliance QPR for RMAI TOM

 Roles & responsibilities 
Responsible for service delivery and ensuring the quality and timely delivery of Independence requests undertaken by self 
Will be responsible for performing tasks in accordance with provided standard operating procedures including, but not limited to 
End-to-end performance of audit, tax, and advisory Quality Performance reviews
Performance of special or time sensitive projects as they arise ensuring overall client satisfaction with the delivery of services.
Independently and proactively manage assigned QP review and related project management tasks to completion, with the knowledge that timeframe for completion of QP reviews can be narrow.
Assist with special projects or time sensitive projects, as needed and requested
Perform QP review testing procedures to assess documentation provided by Audit, Tax and Advisory professionals and conclude on their adherence to firm policies and regulatory requirements.
Escalate all unaddressed issues or potential violations of independence rules to GDC supervisors or onshore liaisons to seek possible resolution identified on a timely basis.
Perform research, analyze data, make rule-based decisions and determinations, and document the work performed and results to support conclusions.
Demonstrates strong time management and organizational skills, working efficiently without comprising on quality.
Demonstrate professionalism, industry competence and clarity of communication when dealing with the Onshore teams
Develop self by participating in Independence conceptual trainings. Actively get involved on business and Independence specific knowledge development initiatives at GDC.

 

 Roles & responsibilities 
Responsible for service delivery and ensuring the quality and timely delivery of Independence requests undertaken by self 
Will be responsible for performing tasks in accordance with provided standard operating procedures including, but not limited to 
End-to-end performance of audit, tax, and advisory Quality Performance reviews
Performance of special or time sensitive projects as they arise ensuring overall client satisfaction with the delivery of services.
Independently and proactively manage assigned QP review and related project management tasks to completion, with the knowledge that timeframe for completion of QP reviews can be narrow.
Assist with special projects or time sensitive projects, as needed and requested
Perform QP review testing procedures to assess documentation provided by Audit, Tax and Advisory professionals and conclude on their adherence to firm policies and regulatory requirements.
Escalate all unaddressed issues or potential violations of independence rules to GDC supervisors or onshore liaisons to seek possible resolution identified on a timely basis.
Perform research, analyze data, make rule-based decisions and determinations, and document the work performed and results to support conclusions.
Demonstrates strong time management and organizational skills, working efficiently without comprising on quality.
Demonstrate professionalism, industry competence and clarity of communication when dealing with the Onshore teams
Develop self by participating in Independence conceptual trainings. Actively get involved on business and Independence specific knowledge development initiatives at GDC.

Mandatory  technical & functional skills
Advanced knowledge of Independence rules and regulations and understanding the various Scope of Services
IT literacy with sound knowledge and experience of Excel/ Word/ PowerPoint

 

 This role is for you if you have  the below
Educational qualifications 
Post-Graduation from an accredited college or university (MBA/M. Com); 
Work experience
2-4 years of experience with either risk initiatives, Independence, or audit experience.

 

 

 

Experience Level

Mid Level