AVP – Assurance (Laws, Rules & Regulations)

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About the Role

We are looking for a highly skilled professional to join our Control Assurance Services team in an Assistant Vice President capacity. This role is focused on providing independent assurance on processes and controls, primarily covering adherence to Laws, Rules, and Regulations (LRR). You will be responsible for evaluating and improving the internal control framework, ensuring effective risk mitigation and regulatory compliance.

Key Responsibilities

• Plan and execute controls assurance activities related to Laws, Rules, and Regulations.
• Develop detailed test plans and procedures to assess control design and operating effectiveness.
• Perform control testing across processes, identify control gaps, and prioritize remediation based on risk severity.
• Utilize data analytics tools (SQL, Python, etc.) for population testing and evidence gathering.
• Prepare clear, concise, and actionable reports for senior stakeholders.
• Collaborate with cross-functional teams to ensure consistent methodologies and compliance standards.
• Maintain documentation and knowledge resources for control assessments and best practices.
• Guide and mentor team members where applicable.

Must-Have Qualifications & Skills

• Strong experience in Risk & Controls, with specific exposure to Laws, Rules & Regulations.
• Proven expertise in control design and operating effectiveness testing.
• Hands-on experience with SQL/Python for data analytics and testing.
• Post Graduate or equivalent qualification (CA/MBA/ACCA preferred).
• Strong project and change management capabilities.
• Ability to influence senior stakeholders and communicate complex findings.

Desirable Skills

• Experience with regulatory environments in financial services across multiple geographies.
• Knowledge of LRR applicable to markets, trading, payments, or banking operations.
• Professional certifications in audit, risk, or controls (CIA, CISA, etc.).
• Familiarity with project/change management methodologies (Prince2, PMI).

Soft Skills

• Strong stakeholder management and influencing ability
• Excellent verbal and written communication skills
• Analytical mindset and problem-solving skills
• Self-motivated and collaborative team player