13 Compliance Reviews Jobs

You are a highly experienced UK Corporate Tax professional with 9-12 years of experience in UKCT PQE. You have the opportunity to join and lead within a newly launched Corporate Tax Centre of Excellence (CoE) for a Top 10 UK accountancy practice. In this leadership role, you are expected to demonstrate strong technical capabilities, a strategic mindset, and the ability to drive innovation, quality, and client value. Your key responsibilities will include: - Providing technical leadership by reviewing and signing off complex compliance and advisory files. - Taking ownership of technically challenging projects such as BEPS Pillar 2 assessments, M&A/restructuring, and cross-border financing structures. - Managing project delivery across service lines to ensure technical accuracy and timely execution. - Designing the CoE's operating model, including KPI frameworks, quality assurance protocols, and workflow controls. - Leading process improvement initiatives and promoting tax technology adoption for enhanced accuracy and efficiency. - Making sound judgments to balance tax risk, efficiency, and commercial outcomes, as well as serving as the escalation point for complex technical and ethical matters. - Building and strengthening relationships with clients, internal teams, and referrers, identifying advisory opportunities, and contributing to fee growth and WIP recovery on complex mandates. To be successful in this role, you should be ACCA qualified with 9-12+ years of UK corporate tax experience, demonstrating expertise in technical areas such as BEPS, international tax, M&A tax, and compliance reviews. Additionally, you should possess strong communication, leadership, and stakeholder management skills. Familiarity with tax technologies such as Alphatax and OneSource would be advantageous.,

Line of Service Advisory Industry/Sector Not Applicable Specialism Risk Management Level 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 firms growth. To enable this, we have zero tolerance for any discrimination and harassment based on the above considerations. Job Description & Summary: ITGC Reviews, IT Internal Audits, Controls Testing, Compliance Reviews, ISO 27001 Reviews, HIPAA/ HITRUST Reviews Perform IT Assessment Reviews which includes IT General Controls, Internal Audits, Controls Testing, Compliance Reviews (such as ISO 27001, HIPAA, HITRUST etc.) Responsibilities: Strong understanding of IT General Controls domains such as Change Management, User Access Management, IT Operations, Back and Recovery Management etc Strong understanding of the third-party risk management Implementation and assessment knowledge of various industry standards, frameworks, and compliances such as ISO 27001, HIPAA, HITRUST, ISO 22301, ISO 27701 etc Understanding of the IT Risk Assessment methodologies and ability to comprehend and apply the knowledge during IT assessment lifecycle Interview client stakeholders and conducts walkthrough meetings and develop assessment artifacts Should understand complete assessment lifecycle from assessment scoping to project deliverables Great communication skills and the ability to break down and explain complex data security problems Excellent presentation skills and ability to effectively communicate proposals and point of view at senior management levels Education: Minimum Qualification: BE/ BTech/MBA/Mtech/MCA Postgraduates in any stream would be preferred (not mandatory) Prior Big 4 experience would be an added advantage Experience in IT Risk Advisory/ Assurance for varied industry segments preferred Excellent communication skills - both written and oral Certifications: CIA/CISA/CISM will be added advantage Mandatory Skill Sets : ITGC Reviews, IT Internal Audits, Controls Testing, Compliance Reviews, ISO 27001 Reviews, HIPAA/ HITRUST Reviews Preferred Skill Sets: ISO 27001 Reviews, HIPAA/ HITRUST Reviews Years Of Experience Required: 2-8 years Education Qualification: BE, B.tech, ME, M.tech, MCA, MBA, Mcom, CA, CS Education (if blank, degree and/or field of study not specified) Degrees/Field of Study required: Bachelor of Engineering, Master of Engineering, Bachelor of Technology, Master Degree Degrees/Field Of Study Preferred: Certifications (if blank, certifications not specified) Required Skills Information Technology General Controls (ITGC) Optional Skills Accepting Feedback, Accepting Feedback, Accounting and Financial Reporting Standards, Active Listening, Artificial Intelligence (AI) Platform, Auditing, Auditing Methodologies, Business Process Improvement, Communication, Compliance Auditing, Corporate Governance, Data Analysis and Interpretation, Data Ingestion, Data Modeling, Data Quality, Data Security, Data Transformation, Data Visualization, Emotional Regulation, Empathy, Financial Accounting, Financial Audit, Financial Reporting, Financial Statement Analysis, Generally Accepted Accounting Principles (GAAP) + 19 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 Show more Show less

You will be leading a team of legal professionals specialized in Alternative Legal Service Provider (ALSP) work at a top global legal firm backed LPO. Your responsibilities will include overseeing various aspects such as e-discovery, document review, cyber incident response, collections, claim evaluation, witness preparation, contract management, DSAR, and compliance reviews to ensure efficient service delivery in a timely and accurate manner. You will need to ensure smooth service delivery by leveraging technology for client deliverables, supporting new client acquisition through client meetings, presentations, and discussions of the company's capabilities, and fostering team growth and collaboration. To qualify for this role, you should have a minimum of 12-15 years of experience in a reputable ALSP, with a proven track record of service delivery and client relationship management. Strong leadership and management skills are essential, along with a proactive attitude. The ideal candidate will have managerial-level experience working with ALSPs, preferably in jurisdictions like the US and UK, demonstrating a history of delivering high-quality services. Proficiency in workflow management systems, automated work allocation, timesheet management, billing processes, and project or delivery management is crucial. Additionally, relevant certifications and accreditations in the ALSP business are required, with a preference for candidates holding certifications such as relativity certification for added advantage.,

Key Responsibilities Manage and execute forensic audits, investigations, and compliance reviews Engage with clients on risk, fraud, and misconduct matters Apply forensic techniques and data analytics to identify anomalies Supervise teams and ensure project quality and timely delivery Prepare detailed, well-documented reports for client and regulatory use Skills & Attributes Strong forensic, audit, and investigative acumen Excellent communication and execution capabilities Data analytics and CFE certification are added advantages

As a Senior Auditor - I at Fiserv, you will be responsible for independently directing and executing audit projects, covering planning, fieldwork, and reporting stages. Your role will involve leading moderately complex to complex finance and operations focused audits across various domains including finance, operations, and compliance within Fiserv business functions. You will coordinate and facilitate audits by conducting meetings with key personnel, planning and conducting walkthroughs, drafting process understanding, and relevant controls. Your duties will also include preparing planning memos, risk assessment matrix, risk assessment control matrix (RACM), and internal controls documentation. You will be expected to document and review Test of Designs and Test of Effectiveness controls, perform analytical procedures to test control effectiveness, document audit procedures, cross-reference working papers, create management representation letter comments and recommendations, and draft audit reports for management review. Additionally, you will assign and validate audits under various financial regulations in different international locations. To excel in this role, you should be a Qualified or Inter CA/CIA/CMA/MBA/MCOM/BCOM professional with a minimum of 6 to 10 years of Audit/Internal Audit experience in Internal Audit, Compliance & Risk Advisory services, preferably in the Banking domain. You must have a strong understanding and skillset in auditing financial controls, process controls, and compliance reviews. Experience with mid-sized audit firms covering Internal Audits, Statutory audits, Internal controls, risk mitigation, and business process reviews will be beneficial. Ideal candidates will possess good client interfacing and team management skills, along with excellent communication and interpersonal abilities. Proficiency in using Microsoft Office products such as Word, Excel, and PowerPoint is required. Desired certifications for this role include CIA, CA, or CPA. At Fiserv, we are committed to diversity and inclusion. We provide reasonable accommodations for individuals with disabilities during the job application or interview process and ensure equal opportunities for all. We caution against fraudulent job postings not affiliated with Fiserv, which may pose risks to personal information or financial security. If you encounter suspicious activity or believe you have been a victim of a job posting scam, please report it to local law enforcement. Thank you for considering employment with Fiserv. To apply, use your legal name, complete the step-by-step profile, and attach your resume.,

The Compliance Associate will report to the Global Head of Internal Controls within the Compliance function of DBRSM. Main responsibilities include monitoring emails and MS Teams messages to ensure compliance with the Electronic Communications Global Policy. Additionally, the Associate will execute general monitoring activities, document monitoring results, communicate results within Compliance and with key stakeholders, complete follow-ups resulting from monitoring activities, and identify opportunities for improvement and automation to enhance program efficiency. Qualifications for this role include a bachelor's degree, with a preference for a degree in finance, accounting, or economics. Advanced degrees and compliance-related professional certifications are recommended. Preferred qualifications include experience in compliance monitoring or testing programs, drafting procedures and internal communications, performing compliance reviews or testing, and specialized knowledge in products and processes related to the credit ratings business. The ideal candidate will possess strong analytical and investigative skills, critical thinking, sound judgment, interpersonal skills, professionalism, integrity, and the ability to handle confidential matters effectively. Morningstar is an equal opportunity employer. The hybrid work environment allows for remote work and in-person collaboration on a regular basis. Various benefits are available to enhance flexibility as needed, ensuring that employees have the tools and resources to engage meaningfully with colleagues globally.,

You will be responsible for supporting our company's compliance programs and initiatives to ensure that our operations, procedures, and practices align with regulatory and legal requirements. Your role will involve monitoring and interpreting relevant laws and regulations, assisting in the development of compliance policies and procedures, and conducting compliance reviews and risk assessments. It will be essential to maintain accurate records of compliance activities, audits, and training, as well as supporting internal investigations of compliance issues and preparing reports and documentation. Additionally, you will be coordinating and delivering employee compliance training programs, preparing and filing required compliance reports with regulatory agencies, and assisting with regulatory examinations and internal or external audits. Collaborating with other departments to integrate compliance standards into business operations will also be part of your responsibilities, as well as staying updated on changes in laws and regulations that may impact the business. To qualify for this role, you should have a Bachelor's degree in Law, Business Administration, Finance, or a related field, along with at least 3 years of experience in compliance, risk management, legal, or a related area. Strong knowledge of regulatory requirements such as GDPR, HIPAA, SOX, SEC, FINRA, etc. is preferred. Excellent analytical and problem-solving skills, high attention to detail and accuracy, strong organizational and communication abilities, and proficiency with Microsoft Office Suite and compliance management systems are also required for this position.,

As an Article Assistant at Chirag Solanki & Co, a Chartered Accountant firm based in Vadodara, Gujarat, you will play a crucial role in providing comprehensive financial services to clients. Your responsibilities will include assisting with bookkeeping, financial statement preparation, auditing tasks, tax planning, and compliance. You will have the opportunity to support business advisory, strategic consulting services, and company secretarial services such as corporate governance and regulatory compliance. This full-time hybrid role offers the flexibility of some work from home, ensuring a balance between work and personal life. To excel in this role, you should possess knowledge of bookkeeping, accounting, and financial statement preparation. Understanding auditing tasks, compliance reviews, tax planning, and preparation are essential. Your ability to provide support in business advisory, financial planning, and strategic consulting will be highly valued. Familiarity with company secretarial services, including company formation and corporate governance, is beneficial. Proficiency in leveraging technology for financial solutions is a plus. Excellent written and verbal communication skills are required to effectively interact with clients and team members. A client-centric approach with a focus on building long-lasting relationships is key to ensuring client satisfaction. A Bachelor's degree in Accounting, Finance, or a related field is necessary, along with enrollment in the ICAI Articleship Program. Join our team at Chirag Solanki & Co to be part of a dynamic environment where accurate, timely, and reliable financial solutions drive client success.,

The Compliance IT position at our organization, reporting to the Head of Regulatory and Compliance, entails overseeing regulatory inspections. As the incumbent, you will be responsible for managing IT compliance and conducting Information Systems Audits for the Bank. This includes evaluating Information Systems and Security audits, application control reviews, and application functionality reviews. Additionally, you will be required to execute IT audits according to the annual audit plan and possess practical experience in audit methodology. Your role will also involve supporting team members in performing compliance reviews and contributing to the preparation of regular submissions to the Board and Audit & Compliance Committee. The ideal candidate should possess a comprehensive understanding of the regulatory landscape for banks in India, with a particular emphasis on RBI and FEMA requirements. Strong coordination skills, research capabilities, and the ability to interpret regulatory guidelines intelligently are essential. Furthermore, a sound knowledge of various banking areas such as Trade, Remittances, and Treasury, along with the ability to achieve results effectively in a startup environment, are key competencies. Excellent interpersonal skills and impeccable integrity are also crucial for success in this role. Qualifications for this position include a Chartered Accountant qualification (preferably on the first attempt), with additional degrees in Law or Company Secretaryship considered advantageous. Candidates should have 1-2 years of post-qualification experience in a Financial Services setting, preferably involving RBI Inspection. A strong commitment to integrity and compliance is paramount for this role.,

As a Senior Auditor - I at Fiserv, you will be responsible for independently directing and executing audit projects, covering planning, fieldwork, and reporting stages. Your role will involve leading a variety of moderately complex to complex finance and operations focused audits across finance, operations, and compliance domains within Fiserv's business functions. You will coordinate and facilitate audits by conducting meetings with key personnel, planning and conducting walkthroughs, drafting process understanding and relevant controls, and preparing necessary documentation such as planning memos, risk assessment matrix, and internal controls. In this position, you will be expected to perform analytical procedures to test the effectiveness of controls, document audit procedures, cross-reference working papers, create management representation letter comments and recommendations, and draft audit reports for management review. Additionally, you will be assigning a variety of audits, including operations and compliance audits under various financial regulations in the US and other international locations in APAC, EMEA, LATAM, etc. Validating audit issues and conducting special reviews will also be part of your responsibilities. To excel in this role, you should hold qualifications such as Qualified or Inter CA/CIA/CMA/MBA/MCOM/BCOM with 6 to 10 years of Audit/Internal Audit experience, preferably in the Banking domain. Strong understanding, capability, and skillsets in auditing financial controls, process controls, and compliance reviews are essential. Experience with mid-sized audit firms covering Internal Audits, Statutory audits, internal controls, risk mitigation, and business process reviews will be beneficial. Good client interfacing, team management, communication, interpersonal skills, and proficiency in Microsoft Office products are required. Desired certifications like CIA, CA, or CPA will be a plus for this role. Fiserv is committed to diversity and inclusion and provides reasonable accommodations for individuals with disabilities during the job application or interview process. Please be cautious of fraudulent job postings not affiliated with Fiserv to protect yourself from potential scams. If you encounter suspicious activity or believe you have been a victim of a job scam, report it to your local law enforcement. Thank you for considering employment with Fiserv. To apply, use your legal name, complete the step-by-step profile, and attach your resume.,

Skill required: IX Intelligent Capital Project Operations - Low Carbon Grid Capital Projects Designation: Capital Projects Management Assoc Mgr Qualifications: BE/BTech Years of Experience: 10 to 14 years What would you do We are seeking a highly skilled and experienced Senior Power System Engineer to join our engineering team. The ideal candidate will have extensive experience in power systems design, analysis, and operation, along with the ability to lead projects and mentor junior engineers. You will be responsible for providing technical expertise in the planning, design, operation, and maintenance of electrical power systems, both for renewable and conventional energy sources. What are we looking for Education:Bachelors degree in Electrical Engineering (or related field) is required.A Masters degree or higher is preferred.Experience:experienced in power system engineering, with a strong background in system design, analysis, and protection.Experience in managing and leading teams of engineers on large projects.Proven experience with power system modeling software such as ETAP, PSS/E, DigSILENT PowerFactory, CYME or similar. Skills: Strong understanding of power system components, including transformers, circuit breakers, relays, and control systems.In-depth knowledge of power system analysis, protection, and control.Experience in renewable energy integration and grid modernization projects.Proficiency in electrical CAD software, simulation tools, and system modeling.Excellent problem-solving and analytical skills.Strong communication skills and ability to work with a diverse team.Experience in high-voltage and substation design.Familiarity with industry codes and standards (IEEE, IEC, ANSI, etc.).Knowledge of energy management systems and SCADA systems. Roles and Responsibilities: Design & Analysis:Lead the design and analysis of electrical power systems including substations, transmission lines, distribution systems, and energy management systems.Perform system modeling, load flow, short circuit, protection coordination, and stability studies to ensure system stability and reliability.Review and provide technical input into the development of power system projects, ensuring compliance with relevant standards and regulations.Project Management:Manage and oversee power system projects from conceptual design through to construction and commissioning.Collaborate with multidisciplinary teams, including electrical, mechanical, and civil engineers, to deliver projects on time and within budget.Prepare technical reports, specifications, and documentation for projects.Technical Leadership & Mentorship:Provide technical leadership and mentorship to junior engineers and project teams.Review work and provide guidance on complex engineering problems and solutions.Keep up-to-date with emerging technologies in the power systems industry.Power System Protection & Control:Design, test, and implement protection and control schemes for electrical systems.Ensure the integration of protective devices and relays, as well as coordination with existing systems.Perform fault analysis and develop system protection strategies to minimize system risks.Compliance & Standards:Ensure all designs, operations, and installations comply with international standards, safety regulations, and best practices.Participate in technical audits, risk assessments, and compliance reviews.Prepare reports for regulatory bodies and clients as required.Troubleshooting & Maintenance:Troubleshoot and resolve complex power system issues, including fault detection and correction.Provide technical support for the operation, maintenance, and optimization of existing systems.Continuous Improvement:Drive the continuous improvement of power system designs, operations, and practices.Propose innovative solutions to enhance system performance and efficiency. Qualification BE,BTech

Provide inputs to business proposals to ensure compliance and regulatory risks are restricted. Disseminate new regulations/exposure drafts to the respective functions and have meetings with them. Ensure timely implementation of the new regulations Conduct compliance reviews (adhoc and planned) as per the Compliance Monitoring Plan. To do Compliance Risk Assessment with respect to Penalty /Warning Orders issued by the Authority to other insurers. To make representations and collate comments from various functions for sending the same to the Authority. To prepare Regulatory Update and Compliance e Dashboard for the Chief Compliance Officer of the Company To track and monitor the Compliance issues of the Company in the Breach Log Register and Compliance Issues Register. To prepare presentations for the Board meeting, and other Board level Committee meetings of the Company. Involvement in business projects/proposals to ensure compliance point of view is considered and advice adhered to before launching the same. Cordial relationship with the regulator and involvement with regulator in shaping future regulations conducive to INHAs business model Provide compliant workarounds to business proposals wherever required Ensure compliance risks are within organizational appetite at all times, and timely information is provided to shareholders and management so as to be aware of the risk level of the organization. Compliance teams ability to provide compliant solutions and thereby act as a business enabler Timely furnishing of comprehensive reports/dashboards to management and shareholder Promote collaborative approach to problem solving whereby the function appreciates business requirements and makes efforts to provide compliant and workable solutions within the risk appetite when faced with restrictions under the extant regulations. Promote teamwork by involving team members in work related decision making and launching staff engagement initiatives within the team Identify learning and development opportunities for self to ensure competence of the team to handle and deliver functional responsibilities and facilitate succession planning Acceptability of the function within the business and operational management groups as a business enabler Engagement levels of team members and their continued association within the organization and team. Implementation of processes and systems and leveraging technology to streamline the functions routine activities and also facilitate easy tracking Review of Operational and other business processes and other areas which have a regulatory bearing, direct or indirect Adopt a risk-based framework for compliance, with focus of monitoring and initiatives on high-risk areas and control weaknesses or issues identified during past compliance risk assessments Streamlined processes and systems for routine activities Compliance role well defined and covering all areas of business and operations that have a regulatory impact Risk-based approach in compliance administration

Develops, operates and manages comprehensive Information Security strategies, standards, policies and programs to assess, prioritize and mitigate business risk Leads the review and formal approval process for Policy updates. Ensures Information Security Policy and Standard documents meet or exceed industry standards and compliance. Assesses and manages the adequacy of the mitigation and remediation plans of known cyber security vulnerabilities and threats, aligning with the Information Security Governance & Risk Management (ISGRM) risk framework and processes. Ensures any risk is identified, articulated and escalated through standard governance, mitigated and communicated to all stakeholders. Owns, defines, leads and delivers information security governance across technologies, departments and data assets. Ensures any risk is identified, articulated and escalated through standard governance, mitigated and communicated to all stakeholders. Engages in preparation of and participates in external and internal compliance audits (PCI DSS, NIST, ISO 27001:2013, etc.). Maintains awareness and knowledge of current changes within legal, regulatory, and technology environments which may affect operations. Interface with CERT-In for vulnerabilities and advisories and communicate the same with internal stakeholders. Manage the Information Security Awareness Program and conduct phishing simulation and tabletop exercise in the organization. Assist in the preparation of deliverable for InfoSec Committee Meetings held quarterly. Lead third party risk management program for external vendors on the end to end basis the annual calendar, review the evidence and workpapers and lead the discussion of observations with relevant stakeholders. Manage outsourced vendors that provide information security functions for compliance with contracted service level agreements. Manage security projects and provide expert guidance on security matters for all important initiatives. Shall be responsible for and empowered to conduct IS reviews by defining the frequency and sample size for a detailed log review of various security solutions managed by IS Operations team. Engaging with internal audit team to conduct periodic reviews based on a scope defined by the internal audit team Conducting risk assessment of security solutions (including perimeter devices) at any point in time managed by the IS Operations team at their discretion Results of reviews conducted by or through the IS team would be tabled at the ISRMC, as applicable based on the scope of the review. In addition to setting standards and carrying out IS reviews, the IS Team shall be directly involved in the incident management processes of the organization High on Integrity, courage, professionalism. Strong writing and verbal communication skills. Excellent commercial understanding and negotiation skills. Strong relationship management skills with key business clients and partners. Ability to control and ensure delivery. Competencies: Analytical thinking, problem solving, makes sound business judgment, communicates effectively, and builds relationships. Locations : Gurgaon, Goregaon, Maharashtra, Lower Parel, Maharashtra