Name/Position Title
Asst Manager, Audit & Compliance
Department
Work Dynamics
Location
Client's Premises
Reporting To
Senior Director- Business Services
What This Job Involves
Responsible for of identifying, measuring, and managing risks, developing reports and plans, and analysing risk/issue problems and audit findings and defining and overseeing the implementation of risk solutions to help optimize operations. Assesses and communicates information regarding business risks with functions across the organization.
- Compliance roles: promote, maintain, and advance the firm's compliance regime.
- Ethics roles: promote, maintain, and advance the firm's ethics regime.
- Risk roles: manage the firm's risk through audits.
Functional Knowledge
- Develop and improve the account Risk and Compliance audit program. Develop procedures, tools and templates for Risk and Compliance team to perform account audits.
- Conduct ongoing account level and service level compliance audits working with in order to formulate recommended solutions and implement controls for the business to reduce risk.
- Improve and develop central system for housing and organizing account audit results and service line risks scores.
- Manage high severity account issues to ensure proper documentation, remediation including procedural updates and training to mitigate future events. Conduct audits to ensure sustainment of remediation efforts.
- Develop and deliver on-account risk management and compliance training to mitigate risks.
- Develop and implement account risk reports and assist platforms in mitigating risks falling outside of threshold tolerances.
- Support team in legal and risk related issues, including general liability claims and costly errors. Liaison with corporate legal and risk groups
- Interface with the account platform centre of excellence and regional field service teams to collect information necessary to monitor account's contractual compliance, firm policies and regulations and client policies and regulations. Identify and monitor high level operational risk.
- Perform other responsibilities as assigned.
Skills & Competencies
- Strong problem solving and decision-making abilities.
- Ability to communicate and engage at all levels of management and field personnel.
- Strong communication and interpersonal skills
Leadership Capabilities
Drive Change, Think Big, Inspire, Help Others, Get it Done, Business First
Qualification
- B.com Accounting, Qualified CA or CA Inter Dropout.
- Minimum of 3 to 5 years of risk management and/or external or internal audit experience
- Advanced Excel skills, including creation of reports generated from Excel.
- Big 4 CA firm, Hotel, CRE internal audit experience is a plus.
