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Audit and Controls in AFMG, check 1a & 1b in coordination with business and liasioning with respective line of defense to perform control execution.
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Responsibilities
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Direct Responsibilities
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- Design and implement control framework for Admin Functions as a whole.
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- Responsible for designing Risk mapping files as per Group Control guidelines for all the work streams of Admin functions.
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- Identify Level 1 and Level 2 controls to be performed and maintain inventory of the controls.
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- Implement Control testing program to ensure Level 1 controls are being performed and execute Level 2 controls. Report deviations/results to Admin Process Leads and Management.
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- Identify control gaps and propose solutions and ensure control gaps are adequately addressed.
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- Conducted pre-internal audit reviews to ensure that all material audit issues are self-identified.
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- Report incidents and errors and publish timely report to OPC to update in Group reporting tool.
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- Liaise with OPC, Risk ORC for review and update of controls for Risk assessment and control testing.
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- Review and Update of policies and procedure document for Admin process and sub processes and obtain sign-off as per guideline. Changes are incorporated at regular interval.
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- Conduct risk and control assessment before change in process or technology initiative to ensure any open issues are fixed before change process or technology change implemented in production.
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- Follow up on the action plans/remediation implementation of Inspection Generale (IG) for recommendations / findings.
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- Liasoning with Statutory / External auditors (Janaswamy & Associates) for recommendations / findings.
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- Review of Operational Issues / risks and analyse with root cause analysis to ensure recurrence of such issues mitigated in future.
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- Engage with Admin coordinators of respective location for review of processes and implement consistent practices (standardization of process) across the location.
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- Tracking of Head count details and monthly reconcile with HR data.
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- Conduct in house Risk & Control awareness session for Admin staff (permanent and outsourced). Sessions are conducted at periodic intervals to ensure new joiners are covered for awareness session.
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- Conduct monthly Ops and Controls agenda meeting with function leads for key business and controls update and prepare a tracker for Open action item for follow up and timely closure.
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- Follow up with Admin staff to comply with Block leave policy requirement and timely completion of Mandatory Compliance and IT Security Training.
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- Access Control Management Timely raise sail point request for addition and deletion of staff and perform periodic review of accesses to ensure access are granted on a need to know basis.
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- Oversee Business continuity planning (BIA Assessment) and Call tree update.
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- Driving and leading Management driven projects linked to strengthening controls and cost initiatives.
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- Coordinate with business and provide inputs to OPC / PMO team for PCC meetings.
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- Coordinate with Legal and Compliance and ensure timely submission of data as requested.
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Contributing Responsibilities
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- - Contribute to the implementation of Permanent Control policies and procedures in day-to-day business activities
- - Ensure all requests received are assigned within the team and drives the team to achieve the expectation set by onshore
- - Active participation in regular review of operational procedural changes /requirements during processing functions / staff meetings
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Technical & Behavioral Competencies -----
1.1 Good communication skills is a pre-requisite
1.2 Accuracy and rigor 1.3 Team player 1.4 Fluent in English; 1.5 Adaptable flexible approach to the working environment
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1.6 Ability to work on multiple IT systems
1.7 IT literate and familiar with Microsoft Office (Excel to macro level), PowerPoint
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1.8 Flexibility to work in shifts
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Specific Qualifications (if required) -----
CA , CA Final appeared, or CA Intermediate cleared or any other Internal Audit Qualification
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Sound knowledge of Audit and Risk & Control.
Knowledge of functional and process domain related to banking and financial services.
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Skills Referential
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Behavioural Skills : (Please select up to 4 skills)
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Ability to collaborate / Teamwork
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Personal Impact / Ability to influence
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Attention to detail / rigor
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Communication skills - oral & written
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Transversal Skills:
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Ability to manage a project
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Analytical Ability
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Ability to develop others & improve their skills
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Ability to set up relevant performance indicators
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Ability to manage / facilitate a meeting, seminar, committee, training
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Education Level:
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Bachelor Degree or equivalent
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Experience Level
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At least 5 years
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