Senior Compliance Consultant - Global Risk Monitoring

Compliance GRM- Consultant

The Senior position for Centralized Monitoring Team will be responsible for day-to-day execution of monitoring activities as part of the offshore team supporting the Global Risk Monitoring Group (GRMG) in Global Quality and Risk Management (GQRM). This role requires flexibility to collaborate effectively with the US-based team, which may involve occasionally working early mornings or late evenings to accommodate overlapping time zones.

 

The Senior will be responsible for delivering high quality output and work independently with minimal supervision. They will report to the Assistant Manager and Manager. The role will require multi-tasking and managing changing priorities. 
(This is not a client-facing role and does not require travel.)

 

 

Roles & responsibilities

•Conduct thorough controls and compliance reviews, delivering high-quality deliverables based on defined work programs. Identify gaps in member firm compliance.•Collaborate with cross-functional teams (including member firm teams) to monitor, review, and report on the operation and testing of SoQM controls and other compliance programs. Use Risk and Control matrix to support the review of Control documentation and Testing documentation. Identify control and/or compliance failures and areas of improvement. Discuss final observations with Managers/Directors/Partners•Maintain accurate documentation of tasks performed and contribute to reporting dashboards•Analyze Excel sheets to identify trends, unusual items, and insights that help with compliance checks and reporting.•Assist in drafting reports and presentations to communicate review outcomes.•Stay up to date with firm methodologies (SoQM, GQCR, and CEAC), applicable regulations & standards. This includes conducting thorough research, actively learning, and effectively implementing these policies in the projects. Regularly review firm policies and guidelines to enhance subject knowledge.•Demonstrate initiative and a strong work ethic, consistently achieve goals with minimal supervision. Take ownership of tasks and projects, drive them from inception to completion while maintaining high quality and attention to detail.•Anticipate potential challenges, address issues proactively, and inform management timely for necessary actions or escalations.•Demonstrate flexibility to work beyond standard shift hours when needed, ensuring effective collaboration with stakeholders across different time zones for successful completion of projects within deadlines.•Propose enhancements to testing and review procedures by incorporating automation and AI tools to improve the efficiency and effectiveness of day-to-day tasks.  

 

This role is for you if you have  the below

Educational qualifications

•Bachelor’s degree (BBM / BBA / BCom) from an accredited college/university•Master’s degree (MBA/M.com) from an accredited college/university

Work experience

•4 to 6 years of relevant experience in areas such as Risk Management, Audit Quality Management, SoQM, Controls Testing, Internal Audit, and Operational and Compliance Audits.•Previous experience in Big 4/Big 6 firms is highly preferred.

Mandatory  technical & functional skills

•Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint). Ability to work on complex excel sheets to perform data analysis.•Experience with adopting automation tools for improved delivery.•Strong interpersonal and communication skills (both verbal and written).•Ability to multitask, adapt to dynamic environments, and manage changing priorities.•Strong understanding of risk and controls, compliance requirements, and quality standards applicable to audit firms•Experience with adopting automation tools for improved delivery.  

Key behavioural attributes/requirements

•Ability to work independently and collaborate in teams•Excellent stakeholder management skills, experience of working with clients and/or stakeholders across geographies.•  

Other information

•Interview process: Please expect minimum 2 rounds of interview•Does the job role involve travelling: No

Experience Level

Senior Level