Audit Readiness & Monitoring Team Lead

Join our team as an Audit Readiness and Monitoring Team Leader, where youll have the opportunity to enhance audit preparedness across Global Asset & Wealth Management Operations

As an Audit Readiness & Monitoring - Team Lead within the Global Asset & Wealth Management Operations, you will be instrumental in improving the audit readiness of various functions across operations. Your role will involve establishing strong governance structures and conducting proactive reviews to ensure all processes are in line with the firms audit standards and regulatory requirements. You will actively engage with the business to initiate reviews, ensuring the governance health of processes is consistently monitored. Your responsibilities will include comprehensive reviews of process governance, identifying any inconsistencies with the firms governance policies and guidelines that could affect audit requirements. You will have the opportunity to manage multiple reviews simultaneously and will be responsible for ensuring that all functions within Asset & Wealth Management Operations adhere to a standardized governance monitoring framework. This role requires close collaboration with Operations leads, control partners, compliance, and technology teams to gather and analyze data, identify areas for improvement, and assist in the implementation of corrective measures.

Job Responsibilities:

1. Implement governance frameworks that enhance process audit readiness. This includes conducting comprehensive reviews of operational processes to ensure compliance with the firms governance policies & standards.
2. Work closely with Operations leads, control partners, compliance, and technology teams to gather and analyze relevant data.Collaborate with Ops leads to understand their processes, conduct preliminary governance reviews to ensure monitoring and maintenance of process governance health.
3. Prepare and maintain thorough documentation for audit purposes, ensuring all records are comprehensive and up to date.
4. Conduct thorough evaluations of process governance to identify any gaps or discrepancies that do not align with the firms standards. Assess the potential impact of these gaps on audit requirements and support business in mitigating any identified risks ensuring audit readiness.
5. Oversee multiple reviews simultaneously, ensuring that each adheres to a standardized governance monitoring framework. This requires strong organizational skills and effective task prioritization.Identify and report non-compliance areas and recommend corrective actions.
6. Maintain clear and effective communication with all stakeholders involved in the ARM review process. This includes preparing detailed reports to convey findings, remediation plan, and progress updates to track closure.
7. 
   Drive continuous improvement and control initiatives by identifying best practices and recommending enhancements to existing governance frameworks. Explore automation solutions to streamline processes, increase efficiency, and reduce manual effort.
8. Develop a deep and up to date knowledge of the firm-wide governance standards and guidelines. Collaborate with cross-functional teams to gain insights into existing controls and ensure alignment with these standards.

Required qualifications, capabilities, and skills.

• BTech / CA / CWA / MBA / Graduate or Post-Graduate with 4 years experience in risk management/Compliance/Audit/Data analytics team
• Excellent verbal and written communication skills - ability to summarize findings into concise, high-level points and visually depict key data and findings
• Strong consulting and stakeholder management skills, a client service philosophy, and the ability to build and foster internal relationships.
• Experienced in collaborating with project stakeholders, including the skills to facilitate discussions and resolve conflicting requirements.
• Must be confident and experienced and be able to interact at middle management level.
• Must have demonstrable stakeholder engagement experience including organizing and managing cross-functional / work stream teams.
• Must be able to handle pressure associated with complex project and programmes in demanding customer environment.

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• Self-sufficient and require little day to day management support.
• Can operate effectively in a dynamic environment with tight deadlines and can prioritize ones own work to achieve them.
• Flexibility to work global hours.

Preferred qualifications, capabilities, and skills

• Demonstrated expertise in risk management frameworks, industry standards, and regulatory requirements relevant to the financial industry.
• Knowledge of audit principles, regulatory standards (SOX, PCI DSS, GLBA, SOC), IT General Controls, and best practices for audit readiness.
• Knowledge of automation tools like python, Alteryx, Unqork, UI Path
• Knowledge of visualization tools - Tableau
• Ability to upskill to latest technologies being used.