20 Control Frameworks Jobs

You will be joining M&G Global Services Private Limited, a subsidiary of M&G plc, with a rich history spanning over 170 years in the savings and investments industry. At M&G, our mission is to empower individuals to make confident decisions about their finances. We offer a wide range of financial products and services through Asset Management, Life, and Wealth divisions, all working together to provide exceptional financial outcomes for our clients and shareholders. As a Manager, Business Assurance and Controls Testing in the Risk & Resilience function, you will play a crucial role in advising and challenging key stakeholders to effectively manage risks and provide valuable business insights. You will report to the Assistant Vice President/ Vice President, Business Assurance and Controls Testing, supporting the implementation of the Operational Risk Framework and Policies. Your responsibilities will include ensuring compliance with policies, conducting risk assessments, managing operational risk assurance reviews, and collaborating with various stakeholders to enhance control design and implementation. Key Accountabilities/Responsibilities: - Supporting the embedding of the operational risk framework across M&G plc - Providing consolidated risk analysis and management information for Senior Management - Managing operational risk assurance and control testing reviews across business areas and service providers - Preparing reports of assurance and control testing findings and recommendations - Contributing to Risk & Resilience Reporting for Senior Management and Boards - Building collaborative relationships with internal and external stakeholders - Keeping abreast of industry trends and regulatory issues Key Stakeholder Management: Internal stakeholders include M&G plc Risk and Compliance, UK Business Areas, and Internal Audit teams. External stakeholders include Suppliers, Business Partners, External Auditors, and Regulators. Required Skills: - Strong knowledge of Control Frameworks such as COSO and COBIT - Experience in risk monitoring, controls testing, and internal audit assurance - Knowledge of UK financial services sector regulations and risk management - Strong written and verbal communication skills - Ability to challenge constructively and drive improvements - Excellent stakeholder management skills - Proficiency in Microsoft Office tools Desired Skills: - Quick learner with analytical thinking - Ability to manage conflicting objectives and deadlines - Strong organization and decision-making skills Experience: - Minimum 3 years experience in Risk/Audit function within a financial institution If you are seeking a challenging role that offers opportunities for growth and impact in a dynamic financial services environment, we encourage you to apply for the position of Manager, Business Assurance and Controls Testing at M&G Global Services Private Limited.,

The Sec & Derivatives Lead Analyst is a senior-level position where you will be responsible for processing orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. Your main objective in this role will be to facilitate the clearance, settlement, and investigation of client securities and derivatives transactions. Your responsibilities will include having a good track record of experience in a tax-related area, a strong understanding of tax reporting and operational tax processes, and experience in Tax Operations (Direct/Indirect Tax, Withholding TAX, Goods and Services Tax, Trading Tax etc.). You should possess strong multi-tasking, organizational, and time management skills to continuously follow up with various stakeholders and execution teams. Excellent spoken and written English, presentation, and communication skills are essential. Additionally, you should be able to take initiative, self-motivate, and consistently demonstrate a results-driven mindset. Your role will require strong analytical skills to conduct detailed analyses of complex tax processes, a high level of integrity to handle sensitive and confidential information in compliance with client data privacy laws, and critical thinking abilities to draw logical conclusions. You should be experienced in working both independently and in a team-oriented, collaborative environment, have managerial experience, and corporate seniority. As a Sec & Derivatives Lead Analyst, you will be responsible for preparing and participating in governance forums on a global level, leading audits from an Operations perspective, understanding operational risks and control frameworks, identifying project resources, monitoring work and budget, and mitigating risks. You will ensure the satisfactory completion of daily project operations, develop, implement and track appropriate KPIs and SLAs for the group, recommend and implement new systems and enhancements to securities processing procedures, and provide in-depth analysis and develop solutions to issues related to securities processing or hedge fund activities. Your role will also involve conducting discovery and due diligence activities with clients, assessing service quality, identifying areas for improvement, advising and coaching new/lower-level personnel, and appropriately assessing risks when making business decisions. You will play a crucial role in safeguarding Citigroup, its clients, and assets by driving compliance with applicable laws, rules, and regulations, adhering to policy, and applying sound ethical judgment regarding personal behavior, conduct, and business practices. To be successful in this role, you should have 8-10 years of relevant experience, be a subject matter expert in at least one area of Securities and Derivatives processing, possess advanced knowledge of hedge funds activities, and consistently demonstrate clear and concise written and verbal communication skills. A Bachelor's Degree/University degree or equivalent experience is required, with a Master's degree preferred. This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.,

As an experienced professional in managing project plans, budgets, and third-party vendors, you will be responsible for ensuring timely and quality delivery of large-scale technical projects and capabilities across the bank. You must possess a good understanding of risk and control frameworks and apply them effectively throughout the project lifecycle. Your role will involve strong stakeholder management skills, collaborating across business, technology, and operations teams to align project outcomes with business priorities. You will need to have exposure to digital transformation or platform modernization initiatives and be familiar with Agile, Waterfall, or hybrid delivery methodologies. Additionally, awareness of middleware technologies and experience in regulated environments with knowledge of compliance and audit processes will be highly valued. Your ability to work with global teams, manage delivery across time zones, and demonstrate strong problem-solving skills will be essential in this role. Your responsibilities will include managing the delivery, resource allocation, and improvement of complex technical project capabilities using Agile/Scrum methodologies. Collaborating with customers and business teams to implement technically feasible solutions and managing change requests throughout the project lifecycle will be crucial. You will also be accountable for identifying, assessing, and mitigating risks associated with technical projects and ensuring vendor relations deliver according to agreed terms. As an Assistant Vice President, you are expected to advise and influence decision-making, contribute to policy development, and take responsibility for operational effectiveness. If the position involves leadership responsibilities, you will lead a team to deliver work impacting the whole business function. You will set objectives, coach employees, and demonstrate leadership behaviours to create an environment for colleagues to thrive and deliver excellent results. Your role may also involve collaborating with other functions/business divisions, consulting on complex issues, identifying ways to mitigate risks, and developing new policies/procedures to support the control and governance agenda. You will be responsible for managing risk, strengthening controls, and engaging in complex analysis of data from multiple sources to solve problems effectively. In addition to technical expertise, all colleagues are expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence, and Stewardship. They should also exhibit the Barclays Mindset of Empower, Challenge, and Drive in their work to align with the organization's operating principles.,

As a Cybersecurity professional specializing in Third Party Risk Management (TPRM), you will utilize your expertise and skills to ensure the security of third-party relationships. With over 4 years of experience in TPRM and a strong background in IT Audits and Cloud security, you will play a crucial role in managing risks associated with external vendors and suppliers. Your responsibilities will include implementing and conducting audits based on ISO22301 standards, as well as assessing and mitigating risks related to third-party relationships. Preferred certifications such as CBCI, CBCP, ISO22301 LI or LA, Offensive Security Certified Professional, and CISA will be valuable assets in this role. Your understanding of vendor risk management considerations and knowledge of Data Protection & Privacy risks will be essential in developing and implementing relevant control frameworks. Excellent written and verbal communication skills, along with the ability to create comprehensive documentation and engaging presentations, will be key in effectively communicating risk-related information. Your motivation to work in both local and global environments, as well as your experience in Infrastructure/Application Security, IT Audit, and Information Risk Management, will contribute to the success of our cybersecurity initiatives. Moreover, possessing security certifications like CISSP, CISA, CISM, CEH, and ISO27001 will further enhance your qualifications for this role. Your ability to thrive in a cross-functional, cross-cultural matrix environment, coupled with your proactive approach to cybersecurity, will make you a valuable asset in our team dedicated to safeguarding our organization against cyber threats.,

The Risk Advisory Manager role is a full-time position that involves on-site work with travel to client sites. As the Manager of Risk Advisory Services, you will be responsible for overseeing day-to-day risk advisory services for clients. This includes tasks such as conducting internal audits, developing and implementing SOPs, and executing client engagements to identify and manage potential risks to their operations, financial stability, and reputation. You will collaborate closely with junior team members to offer comprehensive solutions and guidance to clients across various industry segments. It is essential for this role to have a strong understanding of audit methodologies, regulatory compliance, and internal control frameworks. To excel in this role, you should have a minimum of 5 years of relevant work experience and possess strong analytical skills to assess complex business processes and identify potential risks and control gaps. Knowledge of risk assessment methodologies, regulatory requirements, and control frameworks such as COSO and ISO 31000 is crucial. Familiarity with industry-specific regulations and compliance requirements is also desirable. Excellent communication and presentation skills are necessary to effectively convey complex concepts and findings to clients and internal stakeholders. You should have strong problem-solving abilities, attention to detail, and proficiency in using relevant software applications like the Microsoft Office suite and data analysis tools. The ability to work both independently and collaboratively in a team-oriented environment is key. Professionalism, integrity, and the ability to maintain client confidentiality are essential qualities for this role. Possessing relevant professional qualifications such as CA or CIA would be advantageous. Overall, the Risk Advisory Manager position requires a dedicated individual with a strong background in risk advisory services and a commitment to providing high-quality solutions to clients while adhering to regulatory standards and internal control frameworks.,

As an experienced professional joining our team in the role of SVP - Group Consolidation at HSBC, you will play a crucial part in ensuring the completeness and accuracy of the Group consolidated financial statements. Reporting to the Head of Group Financial Reporting, your responsibilities will encompass various key areas. Your primary responsibilities will include overseeing the core monthly consolidation process, which involves consolidation journals and quarterly reporting instructions to generate consolidated financial statements for HSBC Holdings plc. You will be tasked with identifying errors and issues, interpreting their impact on financial disclosures, making informed decisions, and keeping the wider team informed. Moreover, you will be responsible for the design and management of the Group consolidation system, as well as the ongoing review and maintenance of Group Financial Reporting consolidation models, controls, processes, and reporting policies. Additionally, you will lead the consolidation processes for Regulatory, Tax, and Stress Testing purposes while overseeing the deliverables from the Group Consolidation team and managing associated risks. In this role, you will need to have a comprehensive understanding of core consolidation concepts in accordance with International Accounting Standards, the bank's business, performance, and balance sheet. Your role will require continuous learning, a curious nature, and an openness to challenge existing processes and explore the use of new technologies to enhance external reporting. Collaboration and teamwork will be key aspects of your role, as you will work closely with teams across Global Service Centers and in-country to standardize approaches and share best practices. By fostering an inclusive workplace, we aim to leverage diverse perspectives that drive innovation, creativity, and talent within our workforce. As a leader in financial consolidation and reporting, you will drive the development of expertise within your team and encourage a culture of continuous improvement, curiosity, and challenging the status quo. Collaboration with various teams including Group and Regional Financial Reporting, Accounting Operations, Reporting Operations, and Financial Control will be essential to ensure effective communication and alignment on financial reporting processes. Your role will also involve proactively identifying opportunities for process improvement, managing operational risks, and ensuring compliance with internal control standards. By adopting a forward-thinking and adaptable mindset, you will contribute to the ongoing success and efficiency of the financial reporting processes at HSBC. Key qualifications for this role include a recognized relevant professional accountancy qualification, experience in financial reporting and consolidation preferably in Financial Services, significant knowledge of IFRS, proven leadership capability, stakeholder management skills, and a strong understanding of control frameworks. This position is based in Gurgaon/Chennai, and we welcome individuals with diverse backgrounds and experiences to apply and contribute to our dynamic and collaborative work environment.,

The Sec & Derivatives Lead Analyst position at our organization involves processing orders and transactions from trading desks and branch offices alongside the Operations - Transaction Services team. Your primary responsibility will be to facilitate the clearance, settlement, and investigation of client securities and derivatives transactions. You should have a strong background in tax-related areas with a good understanding of tax reporting and operational tax processes. Experience in Tax Operations, including Direct/Indirect Tax, Withholding Tax, Goods and Services Tax, and Trading Tax, is essential. Your role will require excellent multi-tasking, organizational, and time management skills, along with the ability to effectively communicate with stakeholders and execution teams. Proficiency in spoken and written English, as well as strong presentation and communication skills, is crucial. As the Sec & Derivatives Lead Analyst, you must possess the initiative to self-motivate and consistently demonstrate a results-driven mindset. Strong analytical skills are necessary to conduct detailed analyses of complex tax processes. Additionally, you should uphold a high level of integrity and handle sensitive information in compliance with client data privacy laws. Critical thinking and the ability to draw logical conclusions will be valuable assets in this role. Your experience should include working independently as well as in a team-oriented environment. You should have managerial experience, corporate seniority, and a background in leading audits from an Operations perspective. Understanding operational risks and control frameworks will be essential, along with the ability to identify project resources, monitor work and budget, and mitigate risks effectively. Your responsibilities will also include ensuring the satisfactory completion of daily project operations for existing and new clients, meeting all regulatory requirements. Developing, implementing, and tracking appropriate KPIs and SLAs for the group, recommending and implementing new systems and enhancements, providing in-depth analysis, and developing solutions to issues related to securities processing or hedge fund activities are key aspects of the role. Qualifications for this position include 8-10 years of relevant experience, subject matter expertise in Securities and Derivatives processing, and advanced knowledge of hedge funds activities. You should consistently demonstrate clear and concise written and verbal communication skills. A Bachelor's Degree/University degree or equivalent experience is required, with a Master's degree preferred. This job description offers an overview of the typical tasks performed in the role. Additional job-related duties may be assigned as needed.,

Genpact is a global professional services and solutions firm committed to delivering outcomes that shape the future. With a team of over 125,000 individuals in more than 30 countries, we are driven by curiosity, agility, and the desire to create lasting value for our clients. Our purpose, the relentless pursuit of a world that works better for people, guides us as we serve and transform leading enterprises worldwide, including the Fortune Global 500. We leverage our deep business and industry knowledge, digital operations services, and expertise in data, technology, and AI to drive innovation and excellence. We are currently seeking applications for the position of Lead Consultant - Controls & Compliance Engineer. In this role, you will play a crucial part in developing, implementing, and maintaining controls to ensure compliance with internal policies and external regulations. A strong understanding of regulatory requirements, risk management, and control frameworks is essential for success in this role. **Responsibilities:** - Develop and maintain compliance programs to ensure adherence to regulatory requirements and industry standards. - Monitor changes in regulations and update compliance policies and procedures accordingly. - Conduct regular compliance audits and assessments to identify and mitigate risks. - Design, implement, and monitor controls to mitigate risks and ensure compliance with policies and regulations. - Evaluate the effectiveness of existing controls and recommend improvements. - Collaborate with cross-functional teams to integrate control measures into business processes. - Identify, assess, and manage risks related to compliance and controls. - Develop and implement risk mitigation strategies and action plans. - Monitor and report on risk exposure and control effectiveness to senior management. - Conduct internal audits to ensure compliance with controls and regulatory requirements. - Prepare audit reports and present findings to management and stakeholders. - Track and report on the status of audit recommendations and corrective actions. - Develop and maintain policies, procedures, and documentation related to controls and compliance. - Ensure that policies and procedures are effectively communicated and understood by all relevant stakeholders. - Provide training and support to employees on compliance and control-related matters. - Stay updated with the latest trends and best practices in compliance and control frameworks. - Continuously evaluate and improve compliance and control processes. - Participate in training and professional development activities to enhance skills and knowledge. - Work closely with internal and external stakeholders to ensure compliance and control objectives are met. - Communicate compliance requirements and control expectations to all relevant parties. - Facilitate cross-functional collaboration to achieve compliance and control goals. - Investigate and respond to compliance incidents and breaches. - Implement corrective actions to address identified issues and prevent recurrence. - Maintain incident logs and report on incident trends and resolution status. **Qualifications:** **Minimum Qualifications / Skills:** - Bachelor's degree in Accounting, Finance, Business Administration, Information Technology, or a related field. - Experience in compliance, risk management, internal audit, or a related role. - Strong understanding of regulatory requirements and industry standards (e.g., SOX, GDPR, HIPAA). - Experience with control frameworks such as COSO, COBIT, or ISO. - Proficiency in using compliance and audit management tools. **Preferred Qualifications/ Skills:** - Professional certifications such as Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Compliance and Ethics Professional (CCEP). - Experience with enterprise risk management (ERM) frameworks. - Knowledge of data privacy and cybersecurity principles. - Familiarity with Agile methodologies and practices. - Excellent analytical and problem-solving skills. - Strong communication and interpersonal skills. - Attention to detail and a commitment to accuracy. - Ability to work independently and collaboratively in a team environment. - Strong organizational and time-management skills. If you are a dynamic professional looking to make a difference in the field of controls and compliance, we invite you to apply for this exciting opportunity at Genpact. Join us in our mission to drive innovation, excellence, and value creation for our clients and stakeholders.,

As a Manager Cloud Risk at EY, you will play a vital role in proactively identifying and managing risks within the cloud environment to ensure business functionality and operational stability. Your expertise will be crucial in advising clients on identifying and managing Cloud security risks in their IT environments, as well as identifying potential business opportunities for EY within existing engagements. Your responsibilities will include developing a deep understanding of clients" cloud architecture, platforms, transformation efforts, and processes across various competencies such as Technology and Data Public and Hybrid Cloud Technologies, Data Governance, Tech Transformation, and Path to Production/Tech Change Management. You will be tasked with developing strategies to mitigate risks, establish cloud process and control metrics, lead risk assessments, and ensure compliance with relevant laws and industry standards. In addition to your technical responsibilities, you will also have people management responsibilities, including conducting performance reviews, fostering teamwork, and mentoring team members. Your role will involve working closely with project resources to ensure quality deliverables and adherence to workplace policies and procedures. To excel in this role, you are required to have at least 9 years of experience in cloud and technology risk management, the ability to identify and mitigate risks within IT and business processes, and experience with IT service management tools. Preferred skills include experience in developing Cloud strategy and roadmaps, designing Cloud risks and control frameworks, and relevant professional qualifications in IT or related fields. Certifications such as CCSP, CCSK, CISM, CRISC, CISA, as well as cloud certifications for AWS, Azure, and GCP, are preferred. Experience with tools like ServiceNow, Jenkins, JIRA, Terraform, and GITHUB will be beneficial in performing your duties effectively. Join EY in building a better working world by leveraging your expertise in Cloud Risk management to create long-term value for clients, people, and society while ensuring trust in the capital markets.,

The role is to support the development and maintenance of robust control frameworks and a unified Technology & Cyber Security Control library. You will help implement process control monitoring capabilities to coordinate control execution across Engineering and contribute to driving a positive risk culture within Engineering by implementing processes for control efficiency demonstration. This role requires organized, methodical thinking with strong attention to detail for creating control test plans and documentation. Your responsibilities will include: - Maintaining and regularly updating the centralized Technology & Cyber Security control library, ensuring controls align with industry frameworks (NIST, ISO, COBIT) and regulatory requirements (e.g. DORA). You will help translate complex framework/regulatory requirements into clear, actionable controls. - Conducting Tests of Design Assurance and Operating Effectiveness Assurance for key controls at both group and divisional levels, providing critical support for Group Engineering, Risk & Control Assessments. Documenting test results and identifying areas for improvement. - Establishing and overseeing processes to ensure control evidence is properly documented, stored, and accessible at required frequencies. Creating standardized templates for evidence collection to improve consistency. Reviewing monitoring results for completeness and accuracy, driving corrective actions as needed. - Planning and coordinating periodic independent assurance activities with internal audit teams and external assessors, preparing documentation and facilitating access to evidence. - Implementing, tracking, and analyzing Key Control Indicators (KCIs) aligned to the control library, helping to identify trends and potential weaknesses before they impact operations. - Maintaining detailed control performance dashboards and metrics that clearly communicate control status to various partners, from technical teams to executive leadership. Performing sample-based testing of control operating efficiency. - Identifying thematic control weaknesses and collaborating with control/process owners to develop and implement effective remediation strategies with clear timelines and accountability. Representing Engineering in risk discussions with internal team members. - Leading a team of GRC analysts, providing mentorship, technical guidance, and career development opportunities while ensuring high-quality results. Qualifications: - Relevant degree in IT, Cybersecurity, or Risk Management (Desirable). - 5+ years of experience in technology controls or compliance. - Strong knowledge of control frameworks (NIST, ISO, COBIT). - Demonstrable knowledge of key controls across Technology process areas (e.g. incident, change, capacity management). - Experience in control implementation across Technology process areas. - Experience in control testing and evidence validation. - Proven team management and project delivery skills. - Excellent analytical, communication abilities, and presentation skills. - Experience with GRC tools and control automation. About Us: LSEG (London Stock Exchange Group) is a diversified global financial markets infrastructure and data business dedicated to excellence in delivering services to customers. With extensive experience and deep knowledge across financial markets, we enable businesses and economies worldwide to fund innovation, handle risk, and build jobs. LSEG values integrity, partnership, excellence, and change, guiding our decision-making and actions every day. We are committed to sustainability and driving sustainable economic growth.,

The Quality Assurance (QA) and Control Manager will oversee the planning, coordination, and execution of QA activities for a large-scale SAP ERP set up. This role ensures that SAP-Center of Expertise meet internal quality standards, industry best practices, and business requirements. The manager will also be responsible for designing and managing governance frameworks to monitor process improvements and maintain long-term operational excellence in ERP and enabled processes aligned to the strategic objectives of SAP-CoE. Define and implement a comprehensive quality assurance strategy and plan specific to the service management, specification and development of new functionality, project management, and operations. Develop and enforce quality standards, testing protocols, and documentation procedures across SAP modules. Conduct quality gate reviews on SAP-CoE projects. Monitor deliverables from SAP consultants, developers, and business stakeholders to ensure they meet agreed-upon quality criteria. Provide any special input reviewing the testing procedures and development and execution of testing strategies including Unit Testing, Integration Testing, User Acceptance Testing (UAT), and Regression Testing. Ensure qualitative process in defects management. Establish control mechanisms to ensure that implemented ERP processes are compliant with internal policies and external regulations. Work closely with BU/FU leads and business process owners to align SAP processes with organizational objectives and continuous improvement efforts. Define KPIs and dashboards to monitor process adherence and performance post-implementation. Implement and drive continuous improvements in SAP-CoE. Maintain quality Document management system. Identify, document, and manage quality-related risks. Conduct root cause analysis for defects or process failures and ensure corrective/preventive actions are implemented. Conduct periodic process Audits and implement corrective actions. Ensure Process compliance through effective documentation and process traceability. Provide regular QA status reports to management/steering committees. Facilitate workshops and meetings with functional teams to ensure quality awareness and continuous engagement. Act as a point of contact for QA/QC-related issues and escalate critical quality risks appropriately. Responsible to ensure compliance with applicable external and internal regulations, procedures, and guidelines. Living Hitachi Energy's core values of safety and integrity, which means taking responsibility for your own actions while caring for your colleagues and the business. Bachelors or masters degree in information technology, Engineering, or related field. 15+ years of experience in large scale SAP ERP implementation with at least 7+ years in quality assurance/control in SAP/ERP projects. Strong understanding of SAP modules and implementation methodologies. Certification in Quality Management and SAP Quality Assurance. Knowledge in Data - Syniti, Informatica, SAP Data Intelligence, Testing - Worksoft Tricentris, Selenium, etc. Proven experience in enterprise process design, process mapping, and control frameworks. Proficiency in both spoken & written English language is required.,

About KPMG in India KPMG entities in India are professional services firms affiliated with KPMG International Limited, which was established in India in August 1993. Leveraging the global network of firms, our professionals are well-versed in local laws, regulations, markets, and competition. With offices across India in Ahmedabad, Bengaluru, Chandigarh, Chennai, Gurugram, Hyderabad, Jaipur, Kochi, Kolkata, Mumbai, Noida, Pune, Vadodara, and Vijayawada, we offer services to national and international clients across various sectors. Our goal is to provide rapid, performance-based, industry-focused, and technology-enabled services that demonstrate our shared knowledge of global and local industries along with our experience in the Indian business environment. The ideal candidate should have proven experience in Business Analysis within the domain of Non-Financial Regulatory Reporting (CFTC, EMIR, FCA, MIFID II, ASIC, MAS) and a strong understanding of OTC derivative products across asset classes. They should have demonstrated involvement in the implementation and remediation of regulatory changes, including hands-on experience in conducting root cause analysis. Proficiency in mapping data lineage across different systems and platforms is required, along with experience in implementing control frameworks using 3rd party tools such as TriResolve, DUCO, Droit, and Kaizen. A good understanding of global regulatory requirements and standards is essential, as well as basic proficiency in SQL for data analysis and querying purposes. Qualifications: - MBA - Any graduate Equal employment opportunity information: We are an equal opportunity employer.,

Compliance Testing Specialist is responsible for evaluation & monitoring internal controls, policies & procedures to ensure the organization adheres to applicable regulatory and compliance requirements. This role involves conducting Compliance assessments, identifying risks and recommending corrective actions to mitigate potential violations. The role is a part of 2nd line control testing for respective regions such as EMEA, Americas, AEJ, Japan, Powai. Key responsibilities include: Compliance Testing & Monitoring: Conduct periodic risk-based control testing and reviews across various business areas & regions Evaluate policies, procedures & transactions, reports etc. by employing strong investigative techniques such as in-depth interviewing, inspection, observation and analysis to assess compliance key compliance risks, regulatory requirements, internal Compliance policies and effectiveness of key controls Identify gaps & recommend corrective actions to improve overall levels of compliance Reporting & Documentation: Prepare detailed reports on testing results, findings, and recommendations Maintain comprehensive documentation of compliance testing activities including approach of testing, evidence gathering etc. to further back the findings & exceptions that get reported Develop & document recommendations for actions to be taken by business towards mitigation of compliance risks Present findings to senior management & relevant compliance teams Track open issues & follow up for closure. This includes preparing appropriate management information Process Improvement: Stay updated on relevant laws, regulations & industry standards Work with stakeholders towards enhancing compliance practices Collaborate with internal teams to improve control frameworks Domain / Technical 10 - 12 years of demonstrated experience in a Compliance and / or Control and / or Line of Defence (LoD) function, audit, risk management or related field preferably in the financial services industry Should have worked extensively on control testing and monitoring Strong knowledge of the Business Operational Risk Management Framework, Risk & Control Self-Assessment or Compliance Risk Assessment Proficiency in compliance testing methodologies & tools Strong communication & report-writing abilities Excellent analytical and problem-solving skills Good working knowledge of financial products and services Ability to work with multiple teams as well as to take independent ownership of assignments as a when required Minimum education requirement - bachelor s degree preferably in finance & business Excellent communication and influencing skills, with a good understanding of Compliance and Regulatory requirements Good understanding of the Investment Banking business and the Financial Services regulatory environment Proven project management would be an added advantage Knowledge and understanding of Data Analytics tools and technologies Interpersonal Strong interpersonal and administrative skills, mature judgement, and high ethical standards Pro-active, with a mind set to drive efficiency Ability to identify issues and knowing when to escalate Self-starter, with an ability to multi-task Critical thinking,Conflict Management

This role ensures review and challenge over the robustness of the GMO Middle Office Control Framework Global Middle Office comprises of, Product Control, Valuations, Collateral Management, and Operations. The role requires working closely with various Senior stakeholders. Role & Responsibilities of the position in brief: Provide independent review and challenge of Global Middle Office GMO function. Review and challenge the GMO KRI s prepared by teams within GMO, providing critical feedback and recommendations via the weekly KRI Challenge meetings Present the weekly Global Middle Office Operating Committee meeting to senior stakeholders Identify potential risks and control gaps within GMO processes and propose solutions Lead process improvement and standardization initiatives both within Control & Oversight and GMO functions Develop and maintain effective relationships with senior stakeholders across regions and functions within GMO. Contribute to the development and implementation of new control frameworks and methodologies. Provide Key Control Observations based on operational breaches, KRI / KPIs and control gaps to Finance Division Management. Perform Risk Assessment & Review of End User Computing Applications Ensure adherence to the firm s Global Policies & Procedures within Finance division. Perform RCSA Controls Testing to ensure design and operational effectiveness of controls. Monitoring Finance audit issues and actions Partneringwith various Finance teams, Operational Risk Management & Internal Audit to strengthen/ provide assurance on the operational effectiveness of controls. Actively Participate & provide support to various Digital transformation initiatives. Key Skills: Strong understanding of Investment banking products and trading activities. (required) In-depth knowledge of middle office functions including product control, valuations, and collateral management. (required) Comprehensive understanding of risk management and reporting process. (required) Strong analytical skills with attention to detail and ability to identify control gaps (required) Confident individual with excellent verbal and written communication skills with ability to be direct and concise (required) Proven ability to work under pressure and meet tight deadlines (required) Experience in stakeholder management and ability to challenge senior management effectively (required) Strong understanding of reconciliation process and break analysis (required) Self-motivated with ability to work independently and with minimal supervision (required) Adaptable to change (required) Ability to drive innovations. Exposure to automation / digital transformation projects in data analysis and visualization space Systems skills: Advanced Excel & PowerPoint (required) PowerBI (advantage) SharePoint (advantage) Macros, & VBA. (advantage) Alteryx, Tableau, RPA (advantage) Confluence (advantage) Personal Qualities: Strong attention to detail while maintaining big picture perspective. Ability to work effectively under pressure. Proactive & Self-Motivated approach. Analytical mindset with problem-solving orientation. High-level of professional integrity Strong team player with ability to mentor others within the team. Qualification: (CA / CFA / MBA) with relevant financial markets experience

The Enterprise Information Governance (EIG) function at London Stock Exchange Group (LSEG) is responsible for developing and maintaining a comprehensive data policy framework encompassing standards, controls, metrics, guidance, training materials, and compliance reporting. This function collaborates closely with all LSEG divisions to ensure effective control execution, compliance with standards, and provision of support and guidance. As a successful candidate, you will be instrumental in the continuous enhancement of our data governance framework. Your role will involve meeting governance expectations, enhancing data practices, and managing data resilience and risk. Key Responsibilities: - Perform control assurance for data and records key controls across various scenarios, including solution approval, architectural reviews, policy control assurance, and application decommissioning checks. - Review solutions and transformation initiatives to ensure compliance with minimum standards, record results, monitor risk, and report findings. - Act as a domain expert in data governance and records management, offering guidance on standard methodologies. - Develop relationships and coordinate with architecture forums such as Divisional Architecture Review Boards (ARBs), Central Approval Forum, and other critical groups. - Accountable for the quality and visualization of metrics requirements. - Prepare internal presentations to provide updates on the program status, progress, challenges, successes, risks, and issues. - Collaborate with the Data Governance Manager and team members to align on priorities, projects, and updates. - Participate in internal working groups as needed to support processes. Requirements: - Hands-on experience with assurance activities. - Prior knowledge in IT compliance and auditing roles. - Good understanding of control frameworks and risk management. - Experience in running operational processes. - In-depth understanding of Data Governance principles and their application within an organization. - Appreciation of data risk and associated governance controls. - Familiarity with on-premises infrastructure and cloud architecture. - Ability to collaborate effectively with engineering and technology partners. - Experience in leading data governance partnerships and delivering results within timelines. Education: - Bachelor's or master's degree in computer science, Business Administration, Information Management, or Information Sciences. - Education in Information Management, Information Science, or certification in data courses such as DAMA, CDMC, and DCAM is a plus. Joining LSEG means becoming part of a global financial markets infrastructure and data provider with a purpose of driving financial stability and empowering economies. Our values of Integrity, Partnership, Excellence, and Change guide our decision-making and actions, fostering a culture of collaboration and creativity. As part of our diverse workforce, you will contribute to sustainable growth and support the transition to net zero, creating inclusive economic opportunities. LSEG offers a range of benefits including healthcare, retirement planning, paid volunteering days, and wellbeing initiatives. If you are considering applying as a Recruitment Agency Partner, it is crucial to ensure that candidates are aware of our privacy notice and their rights as data subjects.,

The Securities & Derivatives Intmd Analyst position is an intermediate level role that involves processing orders and transactions from trading desks and branch offices in coordination with the Operations - Transaction Services team. The main objective of this position is to facilitate the clearance, settlement, and investigation of client securities and derivatives transactions. Responsibilities: - Experience in non-financial regulatory and tax reporting with subject matter expertise - Strong understanding of OTC derivatives and investment products - Proficiency in spoken and written English, with excellent presentation and communication skills - Knowledge of operational risks and control frameworks - Ability to utilize data analytics and QA tools, experience with automated QA testing frameworks is a plus - Experience in writing disclosures to Regulators and preparing monitoring KPIs & KRIs for regulatory and tax reporting - Participation in audit reviews, regulatory & tax reporting governance forums at local and/or global levels - Critical thinking skills and logical decision-making abilities - Leading discussions on control/risks with stakeholders and partners - Resolving issues related to global regulatory and tax reporting - Driving optimization of global process and control environment - Processing securities transactions, providing analytic input for traders, and aiding in the review of derivative products - Providing recommendations for process improvements using data analysis tools and professional judgment - Resolving settlement-related issues and escalating complex problems as needed - Participating in project implementations, including new products, services, and platform upgrades - Identifying policy gaps and formulating new policies to streamline trade flow processes - Monitoring and providing solutions to errors to minimize risks - Offering informal guidance and on-the-job training to new team members - Assessing risks in business decisions and ensuring compliance with laws, rules, and regulations Qualifications: - 2-5 years of relevant experience - Understanding of Treasury products, accounting, and regulatory policies - Clear and concise written and verbal communication skills Education: - Bachelors Degree/University degree or equivalent experience in Business, Accounting, or Finance *This job description offers a comprehensive overview of the role's responsibilities and requirements. Additional job-related duties may be assigned as needed.*,

You should have a minimum of 1+ years of development experience in OneTrust GRC, TPRM, and Privacy. Your verbal and written communication skills should be strong, along with experience in handling GRC, TPRM, and Privacy. You will be responsible for creating/managing user groups and privileges in OneTrust, as well as creating/modifying/managing integrations, templates, and workflows in OneTrust. Monitoring integrations for performance issues/enhancements will also be part of your role. Experience with Rest APIs, SOAP APIs, and any coding language is required. A good understanding of JSON, WSDL, and XML is necessary. You should also have a good knowledge of Risks Controls and experience with Control frameworks. About KPMG in India: KPMG entities in India are professional services firms affiliated with KPMG International Limited. Established in India in August 1993, we have offices across the country in various cities. Our professionals leverage the global network of firms and are well-versed in local laws, regulations, markets, and competition. We offer services to national and international clients across sectors, focusing on providing rapid, performance-based, industry-focused, and technology-enabled services. Our goal is to reflect a shared knowledge of global and local industries and our experience of the Indian business environment. Equal Employment Opportunity Information: KPMG in India is committed to providing equal employment opportunities.,

The Assistant Vice President - Control Business Partner (Cards) position in Noida requires a professional with over 7 years of experience in International Corporate banking, Credit Cards, and Risk Control. The primary responsibility of this role is to evaluate the integrity and efficiency of the bank's internal control framework to minimize risk and safeguard the bank's operational, financial, and reputational interests. Key responsibilities include collaborating with various stakeholders to enhance overall control effectiveness, identifying and investigating potential control weaknesses, developing reports on risk assessments, executing reviews on internal controls, and ensuring adherence to the Barclays Controls Framework. The AVP is expected to provide advice, influence decision-making, lead a team, and contribute to policy development while ensuring operational effectiveness. They should also exhibit leadership behaviours such as listening, inspiring, aligning, and developing others. Successful candidates for this role should possess qualifications such as Chartered Accountant/Certified Internal Auditor/CPA or equivalent, with prior experience in Controls Business Partnership, Controls Assurance & Testing, and Operational Risk Management. Business understanding in Client Servicing, Cards/Merchant Servicing/Product acquiring is essential. Additionally, expertise in governance and control frameworks, stakeholder management, and communication skills are crucial for this role. Desirable skills include sound commercial judgment, knowledge of internal control and regulatory requirements, proficiency in MS Office applications, and familiarity with internal control policies and regulatory practices. Experience in areas like Financial Crime, AML, Customer Due Diligence, Settlements, and Credit Lending is valued. If you meet the requirements and are interested in this opportunity, please share your resume with sunidhi.manhas@portraypeople.com.,

Dynamic Yield, a Mastercard company, is seeking a Director, Technology Risk Management to lead and build our strategy for designing and implementing assurance requirements. This role is crucial for meeting customer and regulatory expectations regarding security and availability risk and controls, primarily through assurance products like SOC 2 . You will coordinate and advise management to ensure all customer and regulatory obligations for the Payment Gateway Service are meticulously considered. This includes reviewing strategic plans, identifying necessary risks and controls per Mastercard policies, and designing relevant risk and control assessments. Key Responsibilities As Director, Technology Risk Management, you will: Strategy & Planning: Lead the development of strategy, objectives, and action plans for all assurance obligations. Stakeholder Engagement: Conduct multi-stakeholder meetings, participate in senior-level discussions, and engage with internal and external stakeholders and customers. Program Management: Plan and manage multiple initiatives and projects simultaneously. Business Acumen: Maintain a deep understanding of the business domain and assurance obligations to shape successful execution plans. Solution Simplification: Recognize complexity within the program and propose simplified solutions. Decision Support: Assist stakeholders in making trade-off decisions by considering all relevant data, including business goals, technical platform strategy, customer experience, and maintainability, with a relentless focus on the customer. Compliance & Regulation: Ensure ongoing compliance with statutory and regulatory requirements, anticipate future legislation, enforce adherence, and advise management on necessary actions. Risk Communication: Identify, collect, synthesize, and communicate risks and blockers concisely, accurately, and professionally to senior leadership to ensure alignment. Performance Metrics: Regularly define and review key success metrics for data-focused tracking and proactively seek out new and improved mechanisms for visibility, ensuring the program stays aligned with organizational objectives. Risk Assessment & Control: Conduct comprehensive risk assessments to identify potential security and availability risks, and advise on the design and governance of controls to mitigate these risks. About You Education: Bachelor's degree or an equivalent combination of education and experience is required. A degree in computer science, information technology, or a related field is preferred. Certifications: Professional certification like CISSP, CISA, CRISC, CIPP , or similar is a strong plus. Technical Knowledge: Strong knowledge of IT general computer controls and related operations. Control Frameworks: Experience with various control frameworks ( e.g., SOC1, SOC2, ISAE3402/3000, ISO27001, GDPR ). Communication: Strong interpersonal, communication, and presentation skills are necessary for effective interaction with business leaders and teams across all organizational levels. Negotiation: Strong negotiation and consensus-building skills. Process Improvement: Previous experience in significant process improvement projects, with a demonstrated ability to meet project deliverables. Cultural Competence: A commitment to contributing to a work environment that encourages knowledge of, respect for, and the development of skills to engage with individuals from diverse cultures and backgrounds.

You'll work in partnership with the first line of defense and businesses in applying effective risk management, and anticipating and assessing the potential impacts of risk across By liaising closely with a range of stakeholders, you'll have an opportunity to raise your profile across the organization You'll play a key role in delivering risk management initiatives that support the effective application of theoperational risk framework and conduct risk obligations, with an opportunity to improve theunderstandingand effective management of risk across. Developing and supporting the interrogation and analysis of relevant management information, supporting effective risk management on the part of your stakeholders Building and maintaining trusted working partnerships across a,to inform and gather intelligence on emerging and future risks and controls Responsible for the analysis of risk reporting and metrics used to inform decision making Supporting and regularly engaging with relevant stakeholders including second and third line of defense, and risk teams Deliver, evidence & continually improve a high level of assurance in the pricing methodologies and levels The skills you'll need: To be successful in this role, you'll demonstrate knowledge of how a large financial services organizationoperates and bring experience of working in a first or second line of defense risk role. A clear track record of achievement and delivery in applying risk and control management in an operational and strategic context Knowledge of risk assessment and scenario analysis methodologies Knowledge of operational risk management Excellent communication skills both written and verbal and the ability to influence at all levels Strong proficiency in MS-Excel and a demonstrable mathematical understanding of linear and Interest rate derivatives, Bonds and Repos, Forwards, Spot FX.