1507 Operational Risk Jobs - Page 8

You will be responsible for leading or participating in moderate to high risk or complex review activities in a matrixed environment and effectively communicating emerging risks to management within Independent Testing. Additionally, you will contribute to large scale planning related to Independent Testing deliverables and review and research moderately complex potential corrective actions, ensuring appropriate testing, validation, and documentation of review activities for risk programs and controls according to standards and policies. Your role will also involve resolving moderately complex issues, leading the team to meet Independent Testing deliverables, and collaborating with colleagues, internal partners, management, and lines of business regarding risk management. To be successful in this role, you should have at least 4 years of Independent Testing experience or equivalent demonstrated through work experience, training, military experience, or education. Desired qualifications include good experience in risk management, demonstrated success in influencing business units to mitigate risk, negotiation skills, and the ability to question decisions and escalate issues when necessary. Your job expectations will include executing review activities effectively, completing review activities on an accelerated schedule, challenging risks in processes, evaluating and testing controls, and escalating potential issues discovered during review activities. You will also be responsible for documenting test results, providing recommendations to management, executing the testing of design and performance for RCSA based controls, building relationships with key stakeholders, proactively engaging business partners, developing clear and concise reporting, and providing Credible Challenge to the First Line Units as needed. In addition, you should have knowledge and understanding of the financial services industry, specialized knowledge or prior control testing experience, experience reviewing testing strategies and methodologies, creating, executing, and documenting compliance, control, and business process testing, proficiency in Microsoft Office, and the ability to take on a high level of responsibility, initiative, and accountability. This job posting is open until 3 Mar 2025, and may close early due to the volume of applicants. Wells Fargo values diversity and encourages applications from all qualified candidates, including women, persons with disabilities, aboriginal peoples, and visible minorities. Accommodations for applicants with disabilities are available upon request in connection with the recruitment process. Wells Fargo maintains a drug-free workplace and prohibits third-party recordings during the recruiting and hiring process.,

About this role: As a Business Execution Consultant at Wells Fargo, you will be responsible for participating in various business operations to ensure the achievement of business goals and objectives. Your role will involve identifying opportunities for process improvement by conducting root cause testing of compliance and business metrics. You will need to determine areas of strength and opportunities for business execution within the defined scope of work. Additionally, you will review strategies and action plans to establish effective processes while meeting performance metrics and policy expectations. Your role will require you to utilize independent judgment to guide moderate-risk deliverables and present recommendations for strategic approaches, effectiveness of support functions, and business performance improvement opportunities. You will also collaborate with leaders and executive management, provide work direction to less experienced Strategy and Execution staff, and exercise independent judgment in diverse support functions and operations within a single business group. Required Qualifications: - 2+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through a combination of work experience, training, military experience, or education Desired Qualifications: - Strong experience in Risk management, Audit, or RCSA - Experience in risk disciplines such as Information Security, Business Continuity, Data Privacy, operational risk, financial crime, or regulatory compliance is advantageous - Proficiency in Microsoft tools (Excel, PowerPoint, Word) - Excellent communication skills in English, both oral and written Job Expectations: Your responsibilities will include understanding and analyzing the need for a Third Party and the associated Risks during engagement processes. You must have in-depth knowledge of the Third-Party Due Diligence process, identifying, assessing, and mitigating third-party risks during onboarding, ongoing monitoring, and termination processes. You will be required to gather information on services, evaluate them, finalize compliance and risk evaluations, and update them in the tool as part of due diligence activities. Additionally, you will serve as a Subject Matter Expert to identify and address key third-party related risks, translate the risks to the Line of Business, and address requirements and concerns. You will review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations. Furthermore, you will develop expertise in the Enterprise Third-Party Risk Management policies. Posting End Date: 4 Mar 2025. Please note that the job posting may close early due to a high volume of applicants. We Value Diversity: Wells Fargo values diversity and encourages applications from all qualified candidates, including women, persons with disabilities, aboriginal peoples, and visible minorities. Accommodations for applicants with disabilities are available upon request during the recruitment process. Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples, and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process. Applicants with Disabilities: To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo. Drug and Alcohol Policy: Wells Fargo maintains a drug-free workplace. Please see our Drug and Alcohol Policy to learn more. Wells Fargo Recruitment and Hiring Requirements: a. Third-Party recordings are prohibited unless authorized by Wells Fargo. b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.,

Experience in conducting Business Impact Analysis and Risk Assessments for third-party companies / third-party applications / information systems with business stakeholders. Ability to identify information security risks and provide recommendations, including compensating controls for third-party companies / third-party applications / information systems. Summarize findings and recommendations in the risk report. Experience in communicating with business stakeholders / non-technical stakeholders to explain information security risks and mitigation plan. Review third-party contractual agreements to ensure alignment with internal policies. Conduct audits to verify the compliance to organization security policies / standards. Expertise in cyber security / information security standards / frameworks such as ISO27001, NIST CSF, etc. Experience with TPRM tools such as Archer, OneTrust is an advantage. Experience working with geographically distributed teams. Excellent organizational, presentation & communication skills and ability to handle multiple assessment request and deliverables it within the specific timelines.

About this role: Wells Fargo is seeking a... In this role, you will: Review, verify and identify customer transactions to detect and prevent financial crimes activities, policy violations and suspicious situations in order to mitigate and recover losses Perform general account handling functions such as close account determination, holds, restraints, etc. Document research findings and actions on cases for possible referrals for Suspicious Activity, Identity Theft Operations and Suspected Financial Abuse Maintain files, records, databases and prepare routine management reports Prepare required documentation including Suspicious Activity Reports Identify control failures in bank processes, procedures, customer or individual decisions and then categorize losses and assign loss accountability Perform moderately complex administrative, transactional, operational and customer support tasks Monitor moderate to complex account activity which requires research that may involve multiple transaction channels Provide subject matter knowledge and interpretation of procedures to less experienced staff Review more complex and unique situations with more experienced department staff Interact with immediate team, functional area, and internal peers outside work group, on a wide range of information Participate in projects Engage strategically with all levels of professionals and managers across the company Required Qualifications: 4+ years of Financial Crimes, Operational Risk, Fraud, Sanctions, Anti-Bribery, Corruption experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Excellent written and verbal communication skills with ability to tailor communications to the intended audience Balance multitasking with swift execution Experience consulting with internal clients and business Success in working with all levels of leadership Ability to execute in a fast paced, high demand environment while balancing multiple priorities Self-motivator, ability to learn independently and with limited supervision Posting End Date: 4 Sep 2025 We Value Equal Opportunity Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements. Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process. Applicants with Disabilities To request a medical accommodation during the application or interview process, visit . Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our to learn more. Wells Fargo Recruitment and Hiring Requirements: a. Third-Party recordings are prohibited unless authorized by Wells Fargo. b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Responsible for delivering functional aspects of Core Banking implementation program. Developing and executing the Core Banking Implementation strategy of technology by achieving objectives and goals. Responsibilities include, guiding and mentoring the team and delivering unique service by providing high quality of delivery. The role delivers information technology solutions to fulfil Banks business functional requirements. Accountable for delivering required deliverables with respect to Business Functional requirements during various implementation phases like Product Walk through, Scope study, Product Parameterization, Testing, Triaging Issues during UAT, Business Simulation and Production Rollout etc., And responsible for Identifying Gaps, preparing\/reviewing Business Requirement Documents, Functional Specifications, Test Plans, etc., with various business functions and vendor teams. Responsible to lead the Core Production Implementation function within the SLA, schedule, budget and scope parameters, including testing & overseeing the quality and compliance controls throughout the project life cycle. Manage the transformation of core banking application to the next version. Advanced knowledge on Functional \/ Technical Architecture of the core system of the bank and experience in managing implementation of digital core is a definite plus. Key Result Areas: Manage a diversified team of professionals both onsite\/offshore and outsourced who are responsible for delivering Functional aspects of FLEXCUBE Core banking application. Effectively manage the Business Analysts who involved in Core Banking Implementation and ensure quality and timely delivery. Participate various PWT- Product Walk through and training sessions. Review and evaluate business requirements against existing and proposed systems, providing a recommended approach to providing a solution. Analysis of functional requirement change impact to existing systems. Manage solution documentation (System Requirement Specifications - SRS) describing deliverables to meet requirements. Helping the development team in explaining the Banking concept and to verify for the correct issues resolution\/functionality developed by the team. Manage issue resolution activities by guiding & assisting development team and building a good functional repo with development teams. Manage Implementation of Core Banking Application FLEXCUBE at various Bank sites. Activities includes Scope Study, Gap analysis, Product Parameterization, User Training, Test plans, Issue triaging during various testing phases of the project, Business Simulation etc., Ensure smooth Production cut over and Verify production transfer documentation are in place. Operating Environment, Framework and Boundaries, Working Relationships: Interact with project stakeholders from various business and support functional areas. Performance review and other aspects of HR management. Plan and review projects, MBOs, SLAs and Risks\/Issues. Ensure that the management is (at all times) informed of all risks, issues and their status and timely escalations. Adhere to banks operational risk policy. Member of the Implementation Support\/ Parameterization team working on assigned tasks, project activities and IT initiatives. Co-ordinates with members and other functional teams and provides oversight for resolution of support calls from Onsite. Work with team members participating in shadowing and training activities. Adhere to information controls and security frameworks\/procedures, including change and incident management process. Provide general administrative support to the team, including, meetings, knowledge transfer and activity reporting. Knowledge, Skills & Experience: Strong organizational, team building and leadership qualities. Engineer \/ Postgraduate with 10+ years of experience in FLEXCUBE hands on experience with product designing and implementation. Having Extensive hands-on experience in FCUBS V11.x to 14.x versions. Experience in any Core banking application implementation or experience as Functional Consultant or Business Analyst in Core Banking domain is mandatory. Strong understanding of SDLC process Strong interpersonal communication skills Experience of Banking Operations in particular Core Banking, General Ledger, Loans, Teller Operations, Payments, Trade Finance and other related Banking channels Exposure of manual testing of Banking software applications is a plus. Experience in Digital Core Transformation projects will be an added advantage.

Responsible to manage and lead the production support & delivery for the Payment Automation applications. Responsible to lead the production Support function within the SLA, schedule, budget and scope parameters, including testing & overseeing the quality and compliance controls. Developing and executing the support strategy of technology by achieving objectives and goals. Accountable for 24x7 support and managing the payment system that can impact the bank with financial / operational loss, reputational issues, regulator warnings and penalties. The major responsibilities include requirement gathering, requirement analysis, functional specifications and review, test scope identification, test case review, UAT support, product walkthrough and change implementation. Other responsibilities include Interaction with Business Users, Vendors and Technology Stakeholders, Vendor Management Software Quality Assurance, Monthly service reporting, Periodic Status Update and People management including guiding and mentoring the team and delivering unique service by providing high quality of support. Lead the Development of acquiring business requirements and ensure the effective participation of team for project activities and required deliverables Will be interacting with the higher-level management of business users to understand their requirements and automation needs. Evaluates and makes recommendations for software / hardware upgrades pertaining to functional parameters. Effective Co-ordination with business and third-party stakeholders to manage their expectation Internal functions and work practices as per policy, compliance and procedures of the organization. Provide general administrative support to the team, including meetings, knowledge transfer and Timesheet reporting, preparation of weekly status report. Track performance of individuals in team and conduct performance appraisals on periodic basis Plan and review projects, MBOs, SLAs and Incidents Ensure that the management is always informed of all risks, issues and their status. Define/conduct Business Continuity & Disaster Recovery Plans for applications under responsible domain Adhere to banks operational risk policy. Lead the Support/ Parameterization team working on assigned tasks, project activities and IT initiatives Co-ordinates with members and other functional teams and provides oversight for resolution of support calls from offshore Work with team members participating in shadowing and training activities Adhere to information controls and security frameworks/procedures, including change and incident management process. Provide general administrative support to the team, including meetings, knowledge transfer and activity reporting Ability to break down complex issues and identify most important and relevant information and options. Ability to present and discuss problems with others toward permanent solution Investigate and understand the cause of defects raised. Interpret, understand and resolve user support issues. Ability to perform root cause analysis. Recommend solutions to system or process obstacles on production issues Minimum 12 Years of Experience in Design, Development and Implementation Hands on Expertise in Payment Automation Applications Knowledge on Banking Business and payment products Very good exposure to Core Banking and Channels Ability to review, understand and improve program code and system documentation. Good verbal and written communication including ability to prepare system documentation. Ability to interpret solution documentation and identify areas of concern and recommend approach. Good analytical / communication / people skills. Ability to multi-task in a dynamic work environment. Ability to develop large scale web/database applications Ability to work on multiple projects with multiple deadlines Ability to communicate clearly with business users and project manager Ability to innovate and provide functional applications with intuitive interfaces Ability to complete all phases of software development life cycle including analysis, design, functionality, testing and support. Effectively manage third-party vendors responsible for changes and stability of critical payment applications. Ensure achievement of agreed SLAs and monitor vendor performance continuously. Provide ongoing support by conducting system analysis and responding to user issues in a timely manner. Offer technical expertise and recommendations to enhance systems and resolve issues efficiently. Evaluate business requirements against current and proposed systems, recommending optimal solutions. Analyze the impact of functional changes on existing systems and processes. Prepare comprehensive solution documentation, including System Requirement Specifications (SRS). Develop and validate Technical Design Specifications and support development programming needs. Assist development teams by explaining payment and compliance with business processes and validating functionality. Prepare test case scenarios, design relevant test data, and execute test cases to ensure system quality. Lead and actively participate in issue resolution activities with development teams, ensuring timely closure. Convert business requirements into clear functional and technical specifications. Document enhancements and change requests for stakeholder approval and implementation. Prepare and verify production deployment documentation for successful release management. Perform root cause analysis (RCA) for any production disruptions and drive preventive measures. Maintain updated documentation for custom configurations and third-party system parameterizations. Monitor system performance to ensure sufficient resources are available for production workloads. Provide guidance and technical support to IT teams requiring specialized subject matter knowledge. Ensure IT strategy is consistently aligned with broader business and regulatory strategies. Coordinate with interdependent teams to ensure timely and accurate change delivery.

Join J.P. Morgans Client Operations team to drive excellence in business control and oversight through strategic analysis and robust control frameworks. Job Summary As a Business Control and Oversight Analyst within the Client Operations team, you will provide analysis and support on the implementation of an adequate oversight and controls framework. You will partner with Production and Controls teams to define control frameworks and operating models, ensuring alignment with strategic principles. Your role involves detailed business analysis, risk identification, and interaction with a wide range of stakeholders to ensure compliance with internal policies and regulatory requirements. Job Responsibilities Conduct detailed business analysis and requirements against regulatory, business, and organizational demands. Partner with Production and Controls teams to define control frameworks and operating models. Design and implement controls, including process modeling, risk identification, and solution design. Identify the root cause of control breaks and implement effective corrective actions. Identify and address emerging risks. Assist with the coordination of meetings, setting agendas, preparing materials, and documenting minutes. Interact with stakeholders, including Control Management, Legal, Compliance, and Risk Management teams. Required Qualifications, Skills, and Capabilities Bachelor s degree or equivalent experience. Experience in the financial services industry with knowledge of AML/KYC and Economic Sanctions. Ability to deal with ambiguity and uncertainty. Strong analytical and organizational skills with a problem-solver mindset. Preferred Qualifications, Skills, and Capabilities Background in controls, audit, operational risk, legal, or compliance. Proven track record of consistent delivery in a fast-paced environment. Excellent communication skills with the ability to present complex issues to stakeholders. Excellent working knowledge of MS Excel, PowerPoint, Word, and Visio; knowledge of Alteryx is an advantage.

Enables thought leadership and a team who are risk aware, empowered, and feel accountable to drive best in class service. Job Summary As a Client Data Analyst within the Operations team, you will be responsible for reviewing and improving data collection and verification processes, ensuring the accuracy and completeness of KYC records before they are reviewed by the client-facing team. Your advanced organizational skills will be crucial in managing multiple tasks and activities, while your proficiency in digital and tech literacy will help you leverage software applications and digital platforms to enhance processes and client experience. Job responsibilities Perform day to day management of a team including coaching and providing ongoing performance feedback. Track performance of individual team members over time to evaluate performance, learning and capability. Effectively address any service issues that might be escalated by either internal or external customers. Act independently and move forward without clear instruction or close supervision. Make decisions that are effective and well-grounded based on data, insight, and experience. Create an effective and efficient team through continuous communication, timely feedback, and appropriate supervisory practices. Organize workflow and distribute work appropriately. Support all aspects of client onboarding to include the fulfillment of AML and KYC requirement. Required qualifications, capabilities, and skills Demonstrated ability to develop, manage, coach, and motivate teams. Must be flexible and adaptable to manage interim projects and processes based on the business requirements. Knowledge of banking products. Proven leader of process and organizational change. Demonstrated ability to identify, analyze, plan, prioritize, and solve problems, by providing viable solutions and executing. Strong communication and presentation skills. Ability to cope with change; comfort with ambiguity. Preferred qualifications, capabilities, and skills Previous experience in AML, Compliance, Fraud, KYC, or Operational Risk an advantage. Competent in mainframe and PC based systems, with a strong proficiency in MS Office. Previous people manager experience of high performing team.

The Chief Data and Analytics Office is responsible for building enterprise-scale, cutting-edge platforms for Data Management & Analytics and AI/ML Operations that are used firm-wide by the JPMC workforce for Artificial Intelligence (including generative AI)/Machine Learning (AI/ML) development and Data Management. As an AI & Data Governance Product Manager- Associate within our organization, you will understand, formulate and execute well designed, user friendly, product feature builds that encompass AI & Data governance frameworks, policies, and procedures. Your role is crucial in ensuring the ethical and compliant application of AI & Data technologies across the firm. You will be instrumental in integrating AI/ML & Data Management technology into the companys structure, adhering to sustainable best practices in compliance with JPMC technology, operational risk, and relevant regulations. Collaborating with cross-functional teams such as Firmwide CDO, data scientists, engineers, design, legal, compliance, and business units, you will work on AI & Data governance initiatives and ensure they align with regulatory requirements and industry best practices. Job Responsibilities Design and implement product features that apply evolving AI & Data governance frameworks, policies, and procedures to ensure the ethical and responsible use of AI technologies across the organization. Ensure compliance with relevant AI & Data Management regulations, standards, and guideline, and emerging regulations. Identify, assess, and mitigate risks associated with AI & Data Management technologies, including data quality, data protection & privacy, bias, transparency, and accountability. Collaborate with cross-functional stakeholders such as Firmwide CDO, data scientists, engineers, legal, compliance, design and business units to integrate AI & Data governance practices into the AI/ML & Data development lifecycle Establish monitoring and reporting mechanisms to track compliance with AI & Data governance policies and identify areas for improvement. Present product/program updates, risk management and governance findings, and recommendations to senior leaders and stakeholders, ensuring transparency and accountability. Keep abreast of industry trends, regulatory changes, and emerging risks related to AI governance to proactively address potential threats. Required qualifications, capabilities and skills 3+ years of experience in product management, technology governance, risk management, or compliance within regulated industries such as financial services. Basic understanding of AI/ML (including generative AI) and data governance, MLOps, and technology governance/risk/compliance principles. Proven experience in business analysis to identify critical requirements by understanding complex and interdependent processes. Strong critical thinking and problem-solving skills, with the ability to identify and mitigate risks effectively. Excellent presentation and communication skills, with the ability to convey complex information to senior leaders and stakeholders. Proven ability to collaborate effectively across cross-functional teams and build strong working relationships. Preferred qualifications, capabilities and skills Experience with public cloud platforms (e.g., AWS, GCP, Azure) is a plus. Certifications in AI governance, data governance, or related fields.

The Control Management team collaborates with various control disciplines to oversee existing control functions and develop new protocols. This approach ensures timely engagement with the appropriate teams and facilitates swift remediation of critical control issues across all affected areas of the firm. Job Summary As an Analyst within the Controls Management team, you will be responsible to enhance control oversight and efficiency by standardizing and automating operational risk reporting, providing access to aggregated firm wide information, and generating business risk insights. The Controls Room comprises several functional units, including the Data Management & Operations team, Analytics, Reporting, and the Project Management Office. Job responsibilities Provide daily system support operations including issue resolution, user requests, enhancement requests, user acceptance testing, ad-hoc requests, etc. Monitor the support tools and mailbox for user tickets/issues. Prioritize and schedule tickets; escalate tickets/issues to the L2/L3 teams as required. Provide technology troubleshooting support on basic user issues and system issues such as data problems. Resolve and close user-related tickets assigned to Operate Support in a timely and complete manner by providing application knowledge. Coordinate Access Administration and support Recertification for supported applications. Be flexible in working rotational shifts (APAC, EMEA, and U.S.) Provide application testing/validation support on an as needed basis. Required qualifications, capabilities, and skills 4+ years of relevant experience in a similar role. Solid understanding of risk management and control principles. Excellent written and verbal communication abilities. A strong focus on delivering exceptional customer service. Ability to effectively communicate with both technical and business partners, adapting language to suit the audience. Strong organizational, documentation, and multitasking abilities, with a proven track record of managing expectations and delivering results. High level of professionalism, self-motivation, and a strong sense of urgency.

At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements. Job Responsibilities Reviewing Trade surveillance alerts and conducting analysis of trading and market activity for asset class and programs such as Equities, Information barriers, Fixed income, Futures/ Options and Asset management Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately Working with business and compliance stakeholders to identify potential market misconduct and technical rule violations and disposition, accordingly, include through interaction with regional Surveillance teams Conducting alert-based reviews for potential violations of laws, rules, and regulations. Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment. Identifying areas for process improvement and contribute towards the same Additional duties as assigned & Identifying areas for process improvement and contribute towards the same Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders Required qualifications, capabilities, and skills Qualified graduate with minimum of 6 years of trade surveillance / product experience with exchange traded products (including equities, futures and Fixed income) and/or information barriers / Asset management An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules and regulations Experience with reviewing trading activity for Compliance and familiarity with securities laws and regulations for identifying potential trading violations Preferred Qualifications, Capabilities, and Skills Experience with SMARTS, Actimize or similar Trade surveillance systems is a plus Experience with navigation and sourcing of information in Bloomberg/public sources Working Knowledge of securities markets preferred

Lead Quantitative Analyst About the Team: Morningstar DBRS Credit Ratings, LLC is registered with the U.S. Securities and Exchange Commission as a nationally recognized statistical rating organization (NRSRO). Morningstar DBRS Credit Ratings issues credit ratings on a variety of security types including corporate and structured finance securities. This Morningstar subsidiary aims to increase market transparency by providing the highest-quality ratings, securities research, monitoring services, operational risk assessments, data, and tools. Morningstar DBRS is a global credit ratings business, formed through the July 2019 acquisition of DBRS by Morningstar, Inc., the ratings business is the fourth-largest provider of credit ratings in the world. Morningstar DBRS is committed to empowering investor success, serving the market through leading-edge technology and raising the bar for the industry. Morningstar DBRS is a market leader in Canada, the U.S. and Europe in multiple asset classes. Morningstar DBRS is driven to bringing more clarity, diversity of opinion, and responsiveness to the ratings process. Morningstar DBRS s approach and size provide the agility to respond to customers needs, while being large enough to provide the necessary expertise and resources. The Role: As a Lead Quantitative Analyst you will execute proprietary research pertaining to various types of credit rating models, such as default models, cashflow models, capital models, regression models covering asset classes of RMBS, ABS, CMBS, Covered Bond, Structured Credit, Corporates, Financial Institutions and Sovereigns. The Credit Quant Modeling team will collaborate with members from the Credit Ratings, Credit Practices, Independent Review, Data and Technology teams to create class leading models that are as innovative as they are easy to understand in the marketplace. You will be involved in development of model frameworks from prototype phase to a fully-fledged, scalable, and client-facing service. Leveraging deep principles of Statistical, Machine Learning, AI principles and built on massive amounts of Financial datasets. Often, these services must be integrated into organization s platform of financial products, so that our clients can use these software tools in the investment decision-making process. We are looking for an individual who possesses strong Econometric knowledge coupled with technical skills and leverage them to build efficient model verification frameworks for evolving FinTech solutions. Alongside the person should have a passion for investment research. Responsibilities: Team Leadership : Manage and mentor a small team of 2-4 quant analysts, providing guidance on modeling techniques and fostering a collaborative work environment. Strategic Decision-Making : Take responsibility for assessing the statistical significance of variables and determining their inclusion in models, ensuring robust and expected model performance. Model Oversight : Oversee the entire modeling process, from initial development through validation, and UAT ensuring that all models meet regulatory and internal standards. Stakeholder Engagement : Engage with senior management and other internal stakeholders to present modeling results and insights, influencing strategic decisions based on quantitative analysis. Innovative Review Methodologies : Develop and implement innovative model review methodologies to execute regulatory reviews and enhance the accuracy of statistical models. Model Building Blocks : Lead initiatives to develop reusable model building blocks to enhance accuracy and efficiency. Leverage advanced Python coding techniques to streamline workflows. Ensure that the models are aligned with latest Morningstar DBRS technology infrastructure. Requirements: Minimum of 7-11 years of relevant experience working in Credit Modeling / Model Validation roles. Qualifications: MBA (Finance)/BTech/PHD (Math) from a Tier I college. Knowledge of finance, statistics, behavioral sciences. Familiarity fixed income products. Strong Analytical skills. Experience with large databases / datasets preferred. Knowledge and proficiency in a programming language (Python and packages as NumPy, Pandas, SciPy). Familiarity with AWS infrastructure is considered an added advantage. Experience working with large data/Data Warehouses. Morningstar DBRS is an equal opportunity employer. About Us Morningstar DBRS is a leading provider of independent rating services and opinions for corporate and sovereign entities, financial institutions, and project and structured finance instruments globally. Rating more than 4,000 issuers and 60,000 securities, it is one of the top four credit rating agencies in the world. Morningstar DBRS empowers investor success by bringing more transparency and a much-needed diversity of opinion in the credit rating industry. Our approach and size allow us to be nimble enough to respond to customers needs in their local markets, but large enough to provide the necessary expertise and resources they require. Market innovators choose to work with us because of our agility, tech-forward approach, and exceptional customer service. Morningstar DBRS is the next generation of credit ratings. If you receive and accept an offer from us, we require that personal and any related investments be disclosed confidentiality to our Compliance team (days vary by region). These investments will be reviewed to ensure they meet Code of Ethics requirements. If any conflicts of interest are identified, then you will be required to liquidate those holdings immediately. In addition, dependent on your department and location of work certain employee accounts must be held with an approved broker (for example all, U.S. employee accounts). If this applies and your account(s) are not with an approved broker, you will be required to move your holdings to an approved broker. Morningstar s hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. While some positions are available as fully remote, we ve found that we re at our best when we re purposely together on a regular basis, typically three days each week. A range of other benefits are also available to enhance flexibility as needs change. No matter where you are, you ll have tools and resources to engage meaningfully with your global colleagues. R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India Legal Entity

Embark on a transformative journey as an Financial Crime Screening People Leader-Assistant Vice President at Barclays, where youll play a pivotal role in shaping the future. Join us in our mission to safeguard our business and our customers from financial crime risks. To thrive in this role, you ll need some previous experience in: Support various Financial Crime processes, which might include though not limited to payments / sanctions screening, adverse media screening and other AML related processes. Ensure compliance with Barclays Group Sanctions Policy and with Barclays Regulatory responsibilities in respect of the fight against Financial Crime. Responsible for development, delivery, and maintenance of an effective Operational Risk Control environment to covering all aspects of Functional operational risk. You may be assessed on key essential skills relevant to succeed in role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills. This role is based out of Chennai. Purpose of the role To support Screening with day-to-day processing, reviewing, reporting, trading and issue resolution, making decisions in line with comply with relevant regulatory and industry standards. Accountabilities Support with day-to-day screening initiatives including processing, reviewing, reporting, trading and issue resolution through lending technical expertise. Execution of screening checks on customers, transactions, and other activities to identify potential risks and comply with regulatory requirements. Collaboration with teams across the bank to align and integrate screening processes. Identification of areas for improvement and providing recommendations for change in screening processes. Development and implementation of screening procedures and controls to mitigate risks and maintain operational efficiency. Development of reports and presentations on screening performance. Identification of industry trends and developments to implement best practice in screening Services. Participation in projects and initiatives to improve screening efficiency and effectiveness. Assistant Vice President Expectations To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions. Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L Listen and be authentic, E Energise and inspire, A Align across the enterprise, D Develop others. OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes. Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues. Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda. Take ownership for managing risk and strengthening controls in relation to the work done. Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function. Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy. Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively. Communicate complex information. Complex information could include sensitive information or information that is difficult to communicate because of its content or its audience. Influence or convince stakeholders to achieve outcomes.

Payments Industry is a very exciting and fast-developing area with lot of new and innovative solutions coming to market. With strong demand for new solutions in this space, it promises to be an exciting area of innovation. VISA is a strong leader in the payment industry and is rapidly transitioning into a technology company with significant investments in this area. If you want to be in the exciting payment space, learn fast and make big impacts, Ecosystem & Operational Risk technology which is part of Visa s Value-Added Services business unit is an ideal place for you! In Ecosystem & Operational Risk (EOR) technology group, the Payment Fraud Disruption team is responsible for building critical risk and fraud detection and prevention applications and services at Visa. This includes idea generation, architecture, design, development, and testing of products, applications, and services that provide Visa clients with solutions to detect, prevent, and mitigate fraud for Visa and Visa client payment systems. We are in search of inquisitive, creative, and skillful technologists to join our ranks. We are currently looking for a Director of Software Engineering who will take the lead and manage several strategic initiatives within our organization. The right candidate will possess strong software engineering background, with demonstrated leadership experience in driving technical architecture, design and delivery of products and services that have created business value and delivered impact within the payments or payments risk domain or similar industries. This position is ideal for an experienced engineering leader who is passionate about collaborating with business and technology partners and engineers to solve challenging business problems. You will be a key driver in the effort to define the shared strategic vision for the Payment Fraud Disruption platform and defining tools and services that safeguard Visa s payment systems. This is a hybrid position. Expectation of days in office will be confirmed by your Hiring Manager. Basic Qualifications 10+ years of relevant work experience and a Bachelors degree, OR 13+ years of relevant work experience Preferred Qualifications 12 or more years of work experience with a Bachelor s Degree or 8-10 years of experience with an Advanced Degree (e.g. Masters, MBA, JD, MD) or 6+ years of work experience with a PhD Experience leading delivery and deployment of ML models, model refresh, and experimentation. Experience leading product development & delivery of AI/ML solutions, applied to real-world problems Experience leading design and development of mission-critical, secure, reliable systems Experience leading delivery across multiple technologies: Python, Java/J2EE, Apache Kafka, Apache Flink, Hive, MySQL, Hadoop, Spark, Scala, design patterns, test automation frameworks Experience leading delivery of streaming analytics platforms Excellent understanding of algorithms and data structures Excellent problem solving and analytics skills. Capable of forming and advocating an independent viewpoint Strong experience with agile methodologies Excel in partnering with Product leaders and technical product managers on requirements workshops, helping define joint product/technology roadmaps & driving prioritization Experience driving continuous improvements to processes/tools for better developer efficiency and productivity Demonstrated ability to drive measurable improvements across engineering, delivery and performance metrics Demonstrated success in leading high performing, multi-disciplinary and geographically distributed engineering teams. Demonstrated ability to hire, develop and retain high-caliber talent Must demonstrate longer-term strategic thinking and staying abreast with latest technologies to assess what s possible technically Strong collaboration and effective communication, with focus on win-win outcomes

Summary ofroleThe roleinvolves building robust fraud detection frameworks, managing investigationsthrough empanelled risk agencies, engaging with law enforcement and businessteams, and driving awareness across teams Key ResponsibilitiesDevelop and implement fraud risk frameworks across customer and distributors life cycle Monitor transactions, claims and sales practices to identify red flags and fraud patternsLead and manage investigations of suspected fraud cases through empanelled risk agencies, ensuring timely closure with quality reporting Evaluate and monitor performance of risk agencies to ensure adherence to defined SLAs and investigation quality standards Drive vendor staff training programs to improve competency, investigation skills, and compliance with fraud risk protocols Collaborate with internal stakeholders (underwriting, claims, operations, audit, compliance) to strengthen process controls Liaise with law enforcement agencies and industry bodies for complaint filling and resolution Conduct fraud awareness and sensitisation training across distribution channels and operations teams Provide root-cause analysis of fraud incidents and recommend process/policy improvements

PurposeTo identify preventive ways to avoid any risk occurrenceTo decrease fraud and operational risk in the state by efficiently identify the emerging risk and putting appropriate measuresTo coordinate and perform investigation on various cases allotted & report within timelines Proactively detect problems or gaps in different processes, ensure mitigation, and loop closureTo effectively manage risk agencies and to ensure that their competency skills are upgraded as against evolving fraud trendsLearning and ground sensing to be shared with the stakeholders for root cause analysis AccountabilityEffective use of risk agency network and ensuring closure of cases within stipulated timelines without compromising on qualityEnsure issues are picked up in a proactive manner & necessary corrections are madeCreate network across the industry to identify nexus / racketProactively engage with law enforcement agencies for imparting knowledge and filing complaint Imparting risk awareness/sensitization trainings across various branch locations / departments .

PurposeTo identify preventive ways to avoid any risk occurrenceTo decrease fraud and operational risk in the state by efficiently identify the emerging risk and putting appropriate measuresTo coordinate and perform investigation on various cases allotted & report within timelines Proactively detect problems or gaps in different processes, ensure mitigation, and loop closureTo effectively manage risk agencies and to ensure that their competency skills are upgraded as against evolving fraud trends Learning and ground sensing to be shared with the stakeholders for root cause analysis AccountabilityEffective use of risk agency network and ensuring closure of cases within stipulated timelines without compromising on quality Ensure issues are picked up in a proactive manner & necessary corrections are madeCreate network across the industry to identify nexus / racketProactively engage with law enforcement agencies for imparting knowledge and filing complaint Imparting risk awareness/sensitization trainings across various branch locations / departments

Review and manage documentation related to margining, including CSAs, GMRAs, ISDA Master Agreements, and other collateral agreements. Coordinate with Client, Credit Risk and Transition teams to onboard new accounts and execute new margin agreements. Ensure documentation is in line with regulatory requirements such as EMIR, Dodd-Frank, and Uncleared Margin Rules(UMR). High Quality Client Service acumen the candidate should be able to successfully navigate the line between managing expectations and delivering on objectives. Assist in internal and external audits or regulatory examination concerning margin documentation. Experience in the automation of business processes, identifying gaps or potential room for enhancements. Capacity to build effective relationships across the Derivatives practice that will enable front-foot process improvements and the strengthening of governance protocols. Collaborate with Change and IT stakeholders end to end on Book of Work Projects in order to drive through agenda (coordination, planning, testing, review). Provide leadership the global practice looks to this role for effective technical and thought leadership. Risk Management: Understand operational risk and how to mitigate it Comply with the regulatory regime in which Northern Trust operates as appropriate to the above role Exercise due care and diligence, ensuring the areas the incumbent is responsible for are organized and controlled Observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties

About The Role Job Role: Manage Day to-day Operational Activities of Customer Deliverables like Debit card / Credit Card / Cheque book etc" Manage deliveries, coordinate with various production vendors, courier partners and Stationery vendors. Ensure TAT for all the activities & experience in leading a team operations. To handle escalations in operations. Reconciliation of processing data on a day-to-day basis. Provides support and guidance to Team Leaders and subordinates and give decision on complex operational and technical issues. Continuously work on improvements & error reduction thru regular analysis. Elimination of redundant internal processes/ procedures and duplication/ over-lapping etc. Take up any other assignments as conveyed by seniors from time to time. Very good command on MS-office (Word, Excel, PowerPoint, etc.) Should have built and worked on SOP"™s, BRD, and operational risk matrices for the team Excellent project, analytical, execution skills & effective communication skills Should be able to drive efficiency and an error free ops organization. Job Requirements: Be flexible to the work timings as the role demands. Should be fast and accurate with excellent written and oral communication skills. Should be a strong team player and demonstrate excellent team work. High commitment to work Willingness to work late hours /work in staggered working arrangement, in case the same is required.

DEPARTMENT Branch Banking REPORTS TO Branch Manager ROLE PURPOSE & OBJECTIVE The incumbent will be primarily responsible for providing Financial solutions to meet the requirements of the existing Mapped customers and ensure value added customer service as well as acquiring New to Bank CASA Customers. Responsible for handling the portfolio of existing Mapped CASA customers and generating revenue / book growth Responsible for increasing Liabilities book size of relationships via balances in accounts of existing mapped CASA customers or through Term Deposits, Cross selling of MF / Insurance, Loan products, acquiring family accounts and retaining the relationship To acquire pre-fixed New to Bank CASA customers through Open Market referrals / Referrals from existing CASA client base / BTL Initiatives & other tie ups Should be in close contact with the existing customers through personal visits, mailers and phone calls and share insights on the fluctuations in interest rates, FD rates and various product offerings. Informs customers of new products or product enhancements to further expand the banking relationship. Maintains complete relationship record for assigned customer accounts. Ensure continuity of high quality service, product delivery, and responsiveness to customer needs Tracks customer complaints/queries and turnaround times for customer satisfaction. Responsible to be abreast with all policies relating to operational risk, sales processes, mis-selling etc and ensure compliance with the same. Develop effective ways to promote Brand awareness & Product proposition that lead to measurable business results SIZE OF THE ROLE FINANCIAL SIZE NON-FINANCIAL SIZE Entire liability target for the branch CASA Book as per the branch TASC Book as per the branch BB-FIG Book as per the branch Segment wise book (NR, Senior Citizen, HNI etc) as per the branch Number target for all the respective products. CA SA TASC Snr Citizen HNI NR Manage portfolio of assigned branch customer holders KEY DUTIES & RESPONSIBILITIES OF THE ROLE Business Responsible annually to manage existing portfolio and acquire a new to bank portfolio of around 120 -150 Accounts. Expected to achieve the pre-fixed Net Book/ deposits growth (CASA Values & FD) for the year Expected to achieve the MOM addition of SA & CA Accounts Setting up meetings with prospective customers, ensuring that the clients are offered all products from Ujjivan including SA /CA / FD / Life Insurance/ Loan Products etc. Managing the portfolio of the customers on-boarded; ensuring their queries & requests are addressed on a timely manner; there by resulting in superior Customer Experience Customer Resolution of Queries / Requests that may come from managed CASA clients; adhering to the TAT Providing the best alternate channel experience for the customer through IB / MB/ CIB & Phone Banking Provide Doorstep service to managed customers, where-ever required Implementing necessary training for staffs to enable them to handle managed customers Internal process Streamlining the process of customer on-boarding and ensuring seamless process during the same Working towards eliminating bottlenecks in the Account Opening process and rejuvenating the customer journey with Ujjivan Conversion of all form based processing to digital process, with minimal documentation in the long run Responsible for updating and maintaining all Managed Customer upsell related MIS as well as New Customer acquisition done by RM (Calls, Prospects, Meetings, Business Conversions) Learning & Performance Ensure adherence to training man-days/ mandatory training programs for self Ensure goal setting, mid-year review and performance appraisal processes are completed within specified timelines Timely training of Branch staff, so as to ensure product knowledge & change in processes are communicated in a timely manner MINIMUM REQUIREMENTS OF KNOWLEDGE & SKILLS Educational Qualifications Graduate, with a Masters or MBA / PGDM Preferred. Experience Preferred experience of 3 - 4 years in Banking specific managing Privileged / Mapped clients Certifications AMFI / IRDA Certified Functional Skills Good knowledge of Branch Banking & Liability products Service Oriented Analytic and technology oriented Good Relationship Management skills with existing & new Customers Demonstrated leadership experience in interacting with cross-functional teams with a sound understanding of key business drivers Behavioral Skills Sales Skills Execution Skills Relationship Skills Influencing Skills Customer Service Orientation Competencies Planning & Organizing Driving Execution Building Partnerships

Skills: understand various aspects in Risk and Control Framework, like RCSA, Incident Management, Issue Management, Control Testing and Validation. EMEA business partners in delivering the responsibilities like control testing, Incident Reporting, Risk review Experience in Capital Market operations/middle office operations into the trade life cycle of static data, confirmations, settlements, reconciliations and investigations. Role & responsibilities You will be required to have Capital Markets experience, will be responsible for executing the Process review and Enhancement (PRE) Self Inspection program (SIP), Business Continuity Planning (BCP), weekly production of Operations metric program and assisting in monthly processing for Sub-Ledger Account Substantiation (SLAS). The candidate is expected to conduct Walk through (Process Risk Reviews) sessions with the different operations teams and socialize the team members in order to maintain a collaborative environment to perform process gap analysis, control testing, Metric Mapping, Identifying Key risk indicators and continuous monitoring. Is expected to understand various aspects in Risk and Control Framework, like RCSA, Incident Management, Issue Management, Control Testing and Validation. Team member heavily involves in interacting with EMEA business partners in delivering the responsibilities like control testing, Incident Reporting, Risk reviews. Preferred candidate profile Understanding Capital Markets and the different product taxonomies within the business segments (FX, Derivatives, Brokerage) Knowing Risk function deliverables like Key Risks & Controls and the testing thereof Importance and role of MIS Experience in Capital Market operations/middle office operations into the trade life cycle of static data, confirmations, settlements, reconciliations and investigations. Good amount of working experience in the product classes like FX, equity, fixed income with the functional expertise of brokerage, broker dealer services. Moderate experience in Operational risk, specifically identifying and assessing the Key risks, Key Controls, and key risk indicators Knowledge of BCP and Risk Mgt. MS Office skills Knowledge of the systems: GMI, Intellimatch, Imagine, Broadridge, Calypso Good team player Working experience in Corporate investment banking in the capacity of operational risk role

As the Financial Reporting/Fund Accounting VP, you will be responsible for leading financial reporting activities to ensure accuracy and timeliness. Your main focus will be managing a large team that specializes in statutory and regulatory reports. To excel in this role, you should have at least 10 years of experience in fund accounting or financial reporting, along with expertise in applying IFRS and US GAAP. Holding a CA, CPF, or MBA (Finance) would be advantageous. In your position as a Financial Reporting Vice President within the JP Morgan Financial Reporting Team, you will play a key role in coordinating financial reporting activities. Your primary objective will be to ensure the timely and accurate delivery of financial statements and reports. You will oversee a team of over 30 individuals, including 3-4 direct-reporting Associates, focusing on both statutory and regulatory reports. This role presents an opportunity for you to leverage your expertise in financial statement preparation and review, including the application of IFRS and US GAAP, to make a significant impact on key clients. Your responsibilities will include guiding and managing the team in handling complex financial transactions post-NAV, ensuring precise and prompt delivery of financial statements. You will be involved in comprehensive audit planning with global internal teams and partner locations, while also conducting final quality and analytical reviews of financial statements to meet external client delivery standards. Additionally, you will oversee the production of various reports for partners and regulators, respond to inquiries, and actively participate in audits across different departments. To qualify for this role, you should hold a Chartered Accountant qualification or an MBA in finance, coupled with a minimum of 10 years of experience in the Financial Services industry, particularly in financial reporting, fund accounting, or audit within a service delivery model. A deep technical understanding of the investment industry, regulatory requirements, and accounting standards such as US GAAP, IFRS, and AIFMD is essential. Strong attention to detail, exceptional leadership skills, effective communication, and excellent organizational abilities are also required to excel in this position. Your role will involve developing and adjusting department procedures, enhancing systems, and achieving departmental efficiency goals. You should be adept at project and program management and possess advanced analytical skills to drive initiatives successfully. Moreover, your focus on control and operational risk management will be crucial in effectively performing your duties.,

As a Process Change and Governance Manager, you will be responsible for leveraging your expertise in syndicated loan structures, terms, and servicing requirements. Your exceptional leadership, communication, and interpersonal skills will play a crucial role in engaging and motivating teams to ensure successful outcomes in a high-pressure, deadline-driven environment. Additionally, you will actively manage risk related to loan servicing, including credit and operational risks. Desirable skillsets include experience in dealing with stakeholders at all levels, excellent communication skills both verbally and in writing, and a people-centric approach with a focus on problem-solving, results, and customer satisfaction. In this role based out of Noida, your primary objective will be to support Wholesale Lending by handling day-to-day processing, reviewing, reporting, trading, and issue resolution tasks. You will be accountable for monitoring lending operations, ensuring regulatory compliance, collaborating with internal teams, identifying areas for improvement, and implementing procedures and controls to mitigate risks and maintain operational efficiency in Wholesale Lending processes. As an Assistant Vice President, you are expected to advise and influence decision-making, contribute to policy development, and ensure operational effectiveness. If you have leadership responsibilities, you will lead a team, set objectives, coach employees, and create an environment for colleagues to excel. For individual contributors, you will lead collaborative assignments, guide team members, identify new directions for projects, consult on complex issues, and take ownership of managing risk and strengthening controls. All colleagues are expected to demonstrate Barclays Values of Respect, Integrity, Service, Excellence, and Stewardship, as well as the Barclays Mindset of Empower, Challenge, and Drive.,

Join our team to play a pivotal role in mitigating technology risks and upholding operational excellence while driving innovation in risk management. As a Tech Risk & Controls Lead in Cybersecurity and Technology Controls, your primary responsibility will be to identify and mitigate compliance and operational risks in accordance with the firm's standards. You will offer subject matter expertise and technical guidance to technology-aligned process owners, ensuring that implemented controls operate effectively and comply with regulatory, legal, and industry standards. Collaboration with various stakeholders, including Product Owners, Business Control Managers, and Regulators, will be essential in contributing to a comprehensive view of technology risk posture and its business impact. Your advanced knowledge of risk management principles, practices, and theories will enable you to implement innovative solutions and effectively lead a diverse team in a dynamic risk landscape. We are looking for a Regulatory and Industry Risk Assessment Lead with a strong background in audit, regulatory, and industry risk assessments to join our expanding Technology Risk and Controls organization. In this role, you will be the primary assessment lead, interfacing with internal and external auditors, compliance and risk teams, and internal stakeholders to advise on complex audits and ensure the firm's continuous compliance with key regulatory frameworks such as SOX, PCI, GLBA, HKMA, RBI, and other industry standards. The successful candidate will provide strategic direction and expert leadership in audit readiness, assessment practices, and control optimization. Your responsibilities will include driving efficient and effective execution of assessments aligned with organizational objectives, risk appetite, and regulatory compliance. You will lead the governance of issues raised from assessments, track concerns and findings resolution, and ensure timely closure of identified control deficiencies. Offering subject matter expertise in regulatory assessments to ensure adherence to applicable frameworks from HKMA or RBI and other relevant standards will be crucial. Effective identification, quantification, communication, and management of technology risks will be emphasized, with a focus on root cause analysis and resolution recommendations. Developing and maintaining robust relationships with LOB technologists, assessment teams, and data officers will be essential to facilitate cross-functional collaboration and progress toward shared goals. You will execute reporting and governance of controls, policies, issue management, and measurements, providing senior management with insights into control effectiveness and informing governance work. Proactively monitoring and evaluating control effectiveness, identifying gaps, and recommending enhancements to strengthen risk posture and regulatory compliance will be key responsibilities. Required qualifications for this role include a minimum of 5+ years of experience in technology risk management, information security, or related fields, with expertise in risk identification, assessment, and mitigation. Familiarity with risk management frameworks, industry standards, and financial industry regulatory requirements, such as HKMA, RBI, is required. Proficiency in data security, risk assessment & reporting, control evaluation, design, and governance is essential, along with a proven track record of implementing effective risk mitigation strategies. Demonstrated ability to influence executive-level strategic decision-making and translating technology insights into business strategies for senior executives is also necessary. Preferred qualifications include certifications such as CISM, CRISC, CISSP, or similar industry-recognized risk and risk certifications.,

The role of TPPM/Operational Risk in Mumbai requires 5-6 years of experience and immediate availability or serving notice period. You will work with the TPPM team to ensure consistent compliance with the Firms TPRM Framework in Asia. Your primary responsibilities will include guiding Morgan Stanley's Business Units and support functions on managing Third Party risks in alignment with internal policies, external rules, and relevant regulations. Your responsibilities will involve supporting Outsourcing engagements and Third-Party management lifecycle, updating the Outsourcing engagements register, acting as a Subject Matter Expert for assessing and managing Third Party risks, producing Third-Party metrics, contributing to policy updates for compliance with regulatory requirements, and staying informed about industry knowledge and regulatory changes in the Asian region. Key skills for this role include expertise in Third Party risks, Operational risk, Risk Advisory, and a regulatory background. You will collaborate with the Asia Regional Lead and other TPPM global, regional, and functional leads. If you are interested in this opportunity, please submit your resume to malyala.t@twsol.com.,