IN_Senior Associate_Compliance Risk Services _Compliance_Advisory_Mumbai

Line of Service

Advisory

Industry/Sector

Not Applicable

Specialism

Risk

Management Level

Senior Associate

Job Description & Summary

At PwC, our people in audit and assurance focus on providing independent and objective assessments of financial statements, internal controls, and other assurable information enhancing the credibility and reliability of this information with a variety of stakeholders. They evaluate compliance with regulations including assessing governance and risk management processes and related controls.

Those in internal audit at PwC help build, optimise and deliver end-to-end internal audit services to clients in all industries. This includes IA function setup and transformation, co-sourcing, outsourcing and managed services, using AI and other risk technology and delivery models. IA capabilities are combined with other industry and technical expertise, in areas like cyber, forensics and compliance, to address the full spectrum of risks. This helps organisations to harness the power of IA to help the organisation protect value and navigate disruption, and obtain confidence to take risks to power growth.

*Why PWC

At PwC, you will be part of a vibrant community of solvers that leads with trust and creates distinctive outcomes for our clients and communities. This purpose-led and values-driven work, powered by technology in an environment that drives innovation, will enable you to make a tangible impact in the real world. We reward your contributions, support your wellbeing, and offer inclusive benefits, flexibility programmes and mentorship that will help you thrive in work and life. Together, we grow, learn, care, collaborate, and create a future of infinite experiences for each other. Learn more about us.

At PwC, we believe in providing equal employment opportunities, without any discrimination on the grounds of gender, ethnic background, age, disability, marital status, sexual orientation, pregnancy, gender identity or expression, religion or other beliefs, perceived differences and status protected by law. We strive to create an environment where each one of our people can bring their true selves and contribute to their personal growth and the firm’s growth. To enable this, we have zero tolerance for any discrimination and harassment based on the above considerations. "

Job Description & Summary:  

1.Assist in conducting Compliance Quality Assessment Review and support Manager in identifying areas for improvement and implementing corrective actions. 
2.Assist in drafting and reviewing regulatory policies and ensure  policies are up-to-date and reflect current regulatory requirements. 
3.Support the Manager in leading compliance gap assessment projects and assist in developing action plans to address identified gaps. 
4.Conducting Compliance Risk Assessment and Testing. 
5.Ensure timely dissemination of regulatory circulars to clients and provide actionable insights and guidance based on the circulars. 
6.Preparation and updating of compliance registers. 
7.Overseeing regulatory reporting processes. 
Ensure compliance with reporting requirements and timely submission of reports. 
8.Development of compliance manuals and frameworks for clients. 
9.Support the implementation of compliance automation tools and technologies. 
10.Assist in the implementation process for new regulatory circulars and ensure clients' compliance with new requirements and provide necessary support. 
11. Assist in other compliance-related projects such as due diligence,  process improvement etc 

 

Responsibilities: 

 

Worked with a NBFCs/ Banks/ SFBs in the Compliance/Secretarial department for 4-6 years, familiar with RBI Regulations /SEBI regulations for AIF/AMC/Listed Entities & Companies Act. 

Similar experience in Consulting Firm  

Mandatory skill sets: 

 

 Compliance Risk Assessment and Testing 

Compliance Quality Assessment Review 

Preferred skill sets: 

 

 Compliance Risk Assessment and Testing 

Compliance Quality Assessment Review 

Years of experience required: 

 

4+  

Education qualification: 

 

CS/CA/MBA 

 

Education (if blank, degree and/or field of study not specified)

Degrees/Field of Study required: Master of Business Administration, Chartered Accountant DiplomaDegrees/Field of Study preferred:

Certifications (if blank, certifications not specified)

Required Skills

Compliance

Optional Skills

Accepting Feedback, Accepting Feedback, Accounting and Financial Reporting Standards, Active Listening, Analytical Thinking, Artificial Intelligence (AI) Platform, Auditing, Auditing Methodologies, Business Process Improvement, Communication, Compliance Auditing, Corporate Governance, Creativity, Data Analysis and Interpretation, Data Ingestion, Data Modeling, Data Quality, Data Security, Data Transformation, Data Visualization, Embracing Change, Emotional Regulation, Empathy, Financial Accounting, Financial Audit {+ 24 more}

Desired Languages (If blank, desired languages not specified)

Travel Requirements

Not Specified

Available for Work Visa Sponsorship?

No

Government Clearance Required?

No

Job Posting End Date

Experience Level

Senior Level