8 Operational Controls Jobs

At PwC, our people in business application consulting specialise in consulting services for a variety of business applications, helping clients optimise operational efficiency. These individuals analyse client needs, implement software solutions, and provide training and support for seamless integration and utilisation of business applications, enabling clients to achieve their strategic objectives. In SAP compliance and security at PwC, you will focus on providing consulting services for confirming compliance and enhancing security within SAP applications. You will analyse client requirements, implement security measures, and offer guidance and support for compliance with regulatory standards. Working in this area, you will enable clients to mitigate risks, protect sensitive data, and maintain compliance with industry regulations. Driven by curiosity, you are a reliable, contributing member of a team. In our fast-paced environment, you are expected to adapt to working with a variety of clients and team members, each presenting varying challenges and scope. Every experience is an opportunity to learn and grow. You are expected to take ownership and consistently deliver quality work that drives value for our clients and success as a team. As you navigate through the Firm, you build a brand for yourself, opening doors to more opportunities. The role of ETS SAP primarily focuses on working on SAP-ERP Risk and Controls assessments/audit. The required skill includes a good knowledge of Business Processes flows in SAP and the underlying Configurations and design to facilitate that. In the space of CI (Control Integration), tasks include IT Application Control, documenting control related configurations within SAP, testing IT general controls, reviewing RACI matrix, RICEFW documents, facilitating system readiness, assessing financial and operational controls, SAP project assurance services, application security, Sarbanes-Oxley readiness, and controls optimization services, and mapping exercises for various controls. Skills required for this role include Business Acumen, Risk Acumen, and Business Processes understanding. The ideal candidate should have 2-4 years of ERP controls auditing, consulting, and/or implementing experience. A Bachelor's degree in Engineering, Commerce, or Management Information Systems, or a Master's degree in Commerce or Computer Applications is required. Post-graduate certifications such as CA or MBA will be considered advantageous.,

As an Internal Auditor at our Kayamkulam based NBFC company, your primary responsibility will be to conduct internal audits across branches and departments in order to assess the effectiveness of internal controls and risk management practices. You will be expected to ensure compliance with RBI regulations, statutory requirements, and internal policies and procedures while reviewing and evaluating the adequacy and effectiveness of internal control systems. Your role will involve preparing detailed audit reports that include findings, risks, and actionable recommendations, as well as following up on previous audit observations to ensure timely closure of audit issues. Additionally, you will be required to identify process gaps, inefficiencies, or non-compliance and provide recommendations for improvements. Furthermore, you will play a key role in supporting the management in implementing robust financial and operational controls, monitoring adherence to credit policy, KYC norms, loan disbursement, and collection processes. You may also be called upon to perform surprise audits, branch inspections, and fraud investigations when necessary. Collaboration with statutory auditors and regulatory authorities, as well as staying up-to-date with changes in regulatory requirements, particularly NBFC guidelines issued by RBI, will be essential aspects of this role. Salary for this position ranges from 25K to 30K, with the age requirement being between 25 and 40 years. This position is specifically looking for a male candidate, and only one vacancy is available in Kochi. The job type is Full-time and Permanent. In terms of benefits, Provident Fund is provided, and the schedule involves day shifts with a performance bonus. The ability to commute or relocate to Ernakulam, Kerala is preferred. If you are a detail-oriented individual with strong analytical skills and a sound understanding of internal audit practices, we encourage you to apply for this position and be a valuable part of our team.,

At ANZ, we are committed to shaping a world where people and communities thrive, driven by a shared mission to enhance the financial well-being and sustainability of our customers. Our Institutional bank plays a crucial role in assisting our largest customers in moving trade and capital across the region, offering our employees excellent opportunities to enhance their technical expertise and advance their careers. As a Lending Operations Specialist based in Bengaluru at Manyata Tech Park, your primary responsibility will be to support the Lending Processing Manager from an operational standpoint. This involves interacting with customers and agents, coordinating with GCC and/or in-country teams to ensure the efficient delivery of loan fulfillment and life cycle management services. A strong understanding of Commercial Lending is essential for this role, along with proficiency in stakeholder management, operational planning and execution, team leadership, operational controls, and people management. Your typical day will involve ensuring high-quality outcomes are achieved within SLAs to maximize customer satisfaction, effectively driving changes while managing operational risks, identifying and implementing efficiency improvements, managing talent pipeline and leadership development, collaborating with senior stakeholders to execute the strategic plan for the team, and maintaining adherence to ANZ policies and regulatory requirements. Additionally, you will be responsible for promoting diversity and inclusion, driving staff engagement, and maintaining a culture of accountability and continuous improvement. The ideal candidate for this role will possess at least 12 years of experience in Commercial Lending, a deep understanding of the end-to-end lending process (especially the drawdown phase), familiarity with loan fulfillment, lifecycle management, and risk identification, strong problem-solving and analytical skills, organizational abilities, and the capacity to work both independently and as part of a team. Other key attributes include attention to detail, process adherence discipline, coaching and mentoring skills, setting measurable goals, providing regular feedback, and creating a culture of ownership and growth. Joining ANZ means being part of a dynamic environment where meaningful contributions are made to provide banking and financial services across various markets. With a focus on driving transformation and fostering a culture of inclusivity and belonging, ANZ offers a range of flexible working options and benefits, including access to health and well-being services. We are committed to building a diverse workplace and encourage applications from all individuals, including those with disabilities or access requirements. Let us know how we can support you during the recruitment process or in the role itself.,

The Line Compliance Senior Executive position based in Kochi, requires a candidate with internal audit experience and expertise in non-financial audit/SOX audit. As the Line Compliance Senior Executive, your primary responsibility will be to ensure risk and compliance to operational/process controls, service delivery, fraud risk assessment, client contracts, and organizational policies and procedures in the client area. Your duties will include ensuring adherence to operational and process-related controls, compliance for service delivery requirements, fraud risk assessment, client contractual terms, policies, rules, and procedures in the client area. You will coordinate and support compliance activities, conduct periodic fraud risk assessments, testing of process controls, and service delivery compliance reviews/audits. Additionally, you will provide support and guidance during internal/external audits and monitor compliance activities across operations. As the Line Compliance Senior Executive, you will act as an independent reviewer to evaluate and resolve compliance issues within the client area, identify potential areas of compliance vulnerability, and develop corrective action plans. You will provide regular reports to senior management, offer consultancy on risk, regulatory, contractual, and policy compliance areas, and possess relevant domain certifications such as ISO or other audit-related certifications. The ideal candidate for this role should hold a Commerce Graduate/Postgraduate degree with 15 years of education. CA/CS Inter certification is preferred, along with proficiency in MS Office. Relevant domain certifications and a minimum of 2-4 years of work experience in F&A Risk & Compliance, Service Delivery/Operations are required. You will interact internally with AM/LAM, Managers/Sr. Managers, AVP/VPs, Internal Audit, Corporate Compliance Team, and ISG/BCM team. Externally, you will engage with clients and external auditors. Key skills for this role include auditing skills, attention to detail, decision-making ability, good organizational skills, effective communication, commitment, and the ability to work independently with strict deadlines. Desirable soft skills include adaptability, flexibility, and strong communication skills. If you possess the necessary qualifications and experience, and are ready to take on the challenges of ensuring compliance and risk management in the client area, we encourage you to apply for this position.,

As a business application consultant at PwC, your focus will be on providing consulting services for a variety of business applications to help clients optimize their operational efficiency. This will involve analyzing client needs, implementing software solutions, and providing training and support for seamless integration and utilization of business applications to enable clients to achieve their strategic objectives. In the SAP compliance and security role at PwC, your main responsibilities will include providing consulting services to confirm compliance and enhance security within SAP applications. This will involve analyzing client requirements, implementing security measures, and offering guidance and support for compliance with regulatory standards. By working in this area, you will assist clients in mitigating risks, protecting sensitive data, and maintaining compliance with industry regulations. In this fast-paced environment, you are expected to adapt to working with a variety of clients and team members, each presenting varying challenges and scope. Every experience is viewed as an opportunity to learn and grow. You are expected to take ownership and consistently deliver quality work that drives value for clients and contributes to the success of the team. As you progress in your career at the Firm, you will have the opportunity to build a strong personal brand that opens doors to more opportunities. The primary focus of the ETS SAP role will be on working with SAP-ERP Risk and Controls assessments/audit. The ideal candidate will possess a good knowledge of Business Processes flows in SAP and the underlying Configurations and design to facilitate them. This role will involve tasks related to Control Integration (CI) such as ITAC-IT Application Control, documenting control activity narratives, testing IT general controls from a governance perspective, reviewing RACI matrix, facilitating system readiness, recommending financial and operational controls, and more. The ideal candidate for this role should have 2-4 years of experience in ERP controls auditing, consulting, and/or implementing. A Bachelor's degree in Engineering, Commerce, or Management Information Systems is required, while post-graduate certifications such as CA or MBA will be considered advantageous. Strong skills in business acumen, risk acumen, and understanding of business processes are essential for success in this role.,

You will be responsible for conducting internal audits across branches and departments to assess the effectiveness of internal controls and risk management practices. It will be your duty to ensure compliance with RBI regulations, statutory requirements, and internal policies and procedures. Your role will involve reviewing and evaluating the adequacy and effectiveness of internal control systems, and preparing detailed audit reports with findings, risks, and actionable recommendations. You will need to follow up on previous audit observations and ensure timely closure of audit issues. Identifying process gaps, inefficiencies, or non-compliance and recommending improvements will be crucial aspects of your job. Additionally, you will support the management in implementing robust financial and operational controls, and monitor adherence to credit policy, KYC norms, loan disbursement, and collection processes. Performing surprise audits, branch inspections, and fraud investigations when required will also be part of your responsibilities. You will need to coordinate with statutory auditors and regulatory authorities as necessary and stay up-to-date with changes in regulatory requirements, especially NBFC guidelines issued by RBI. This is a full-time, permanent position based in Kochi, with a salary range of 25K to 30K. The ideal candidate should be between 25 to 40 years old and male. The company offers benefits such as Provident Fund and a performance bonus. The work schedule is during the day shift. Applicants should be able to reliably commute to Ernakulam, Kerala, or be willing to relocate before starting work.,

JOB SUMMARY AND RESPONSBILITIES Risk & Control Hat Develop an in-depth knowledge of the operational risk and control profile across Global Banking & Markets (GBM) Advise, challenges, informs the businesses on recommended ways to mitigate risk; reviews actions items to ensure that risk is being sufficiently addressed Sets the tone from the top: Acts as a culture carrier by embedding & propagating a risk mind-set and awareness within the team, region & globally Identifies ways to share risk best practise across teams and functions, and with other business lines where like processes exist/there is exposure to similar risk Partner with the business lines to understand the residual risks that exist after issues are resolved and engage across the front to back to apply lessons learned to improve our risk and control framework QA / Technical Hat Control QA & Monitoring framework. Identify continuous improvement mechanisms to strengthen the framework based on ever-evolving changes in process, regulations & platforms Work with our QA team to design tests for data quality, lineage and controls across a range of products, business lines and processes, including both manually and systematically created data. Develop methodologies to define test scripts, execute tests, including frequency, sampling, evidencing, and follow-up actions which integrate with the broader Divisional risk management framework and datasets Partner with developers and low-code specialists to develop tooling to support test execution, recordkeeping and reporting Work with our BI team in building data models / data visualization for generating multi-dimensional reporting Maintain strong relationships and connectivity with the broader control and data organisations to enable maintenance of the test suites as the operating and control environment changes Execute test suites using manual and automated techniques, and integrate results into the broader risk management framework, including control enhancements and risk assessments Participate in the ongoing uplift and innovation of operational risk processes designed which facilitate GBM Operational Risk & Resilience (ORR) supervisors and leadership's understanding and management of their risk and controls. Coordinate end-to-end risk management delivery with other Divisions, such Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions BASIC QUALIFICATIONS Good understanding of the global markets franchise offered by the firm and experience within a risk management context are required. An energetic self-starter with strong control mindset with a passion for risk management Excellent communication skills to clearly articulate issues and ideas with different levels across Global Banking and Markets stakeholders. Strong analytical skills with an ability to understand complex workflows, and excellent attention to details. Innovative, including a keen eye for identifying areas of control enhancements and automation which have practical value.Good influencing skills to challenging the status quo and continuously enhance the control environment. There is also opportunity within the role to learn and apply advanced analytics software to develop low code risk management solutions. Sound time management skills to be able to effectively prioritize and multi-task. Drive and motivation to improve personal performance, broaden knowledge, work intensely towards extremely challenging goals and persist in the face of obstacles or setbacks Good interpersonal and teamwork skills to collaborate as a global team and build strong relationship with key stakeholders across Divisions. Keeps current with emerging business, economic and market trends Aptitude handling large data sets, synthesizing a variety of information to summarise a profile. Proficient in Excel, Powerpoint, MS Word PREFFERED QUALIFICATIONS Practical experience in Sales and Trading, Risk or Operations functions. Experience in audit / testing methodologies, Control testing (manual & automated)

JOB SUMMARY AND RESPONSBILITIES Risk & Control Hat Develop an in-depth knowledge of the operational risk and control profile across Global Banking & Markets (GBM) Advise, challenges, informs the businesses on recommended ways to mitigate risk; reviews actions items to ensure that risk is being sufficiently addressed Sets the tone from the top: Acts as a culture carrier by embedding & propagating a risk mind-set and awareness within the team, region & globally Identifies ways to share risk best practise across teams and functions, and with other business lines where like processes exist/there is exposure to similar risk Partner with the business lines to understand the residual risks that exist after issues are resolved and engage across the front to back to apply lessons learned to improve our risk and control framework QA / Technical Hat Control QA & Monitoring framework. Identify continuous improvement mechanisms to strengthen the framework based on ever-evolving changes in process, regulations & platforms Work with our QA team to design tests for data quality, lineage and controls across a range of products, business lines and processes, including both manually and systematically created data. Develop methodologies to define test scripts, execute tests, including frequency, sampling, evidencing, and follow-up actions which integrate with the broader Divisional risk management framework and datasets Partner with developers and low-code specialists to develop tooling to support test execution, recordkeeping and reporting Work with our BI team in building data models / data visualization for generating multi-dimensional reporting Maintain strong relationships and connectivity with the broader control and data organisations to enable maintenance of the test suites as the operating and control environment changes Execute test suites using manual and automated techniques, and integrate results into the broader risk management framework, including control enhancements and risk assessments Participate in the ongoing uplift and innovation of operational risk processes designed which facilitate GBM Operational Risk & Resilience (ORR) supervisors and leadership's understanding and management of their risk and controls. Coordinate end-to-end risk management delivery with other Divisions, such Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions BASIC QUALIFICATIONS Good understanding of the global markets franchise offered by the firm and experience within a risk management context are required. An energetic self-starter with strong control mindset with a passion for risk management Excellent communication skills to clearly articulate issues and ideas with different levels across Global Banking and Markets stakeholders. Strong analytical skills with an ability to understand complex workflows, and excellent attention to details. Innovative, including a keen eye for identifying areas of control enhancements and automation which have practical value.Good influencing skills to challenging the status quo and continuously enhance the control environment. There is also opportunity within the role to learn and apply advanced analytics software to develop low code risk management solutions. Sound time management skills to be able to effectively prioritize and multi-task. Drive and motivation to improve personal performance, broaden knowledge, work intensely towards extremely challenging goals and persist in the face of obstacles or setbacks Good interpersonal and teamwork skills to collaborate as a global team and build strong relationship with key stakeholders across Divisions. Keeps current with emerging business, economic and market trends Aptitude handling large data sets, synthesizing a variety of information to summarise a profile. Proficient in Excel, Power point , MS Word PREFFERED QUALIFICATIONS Practical experience in Sales and Trading, Risk or Operations functions. Experience in audit / testing methodologies, Control testing (manual & automated)