104 Rcsa Jobs

Job Role Fiduciary responsibility Sending annual mailers to clients on insider information rule and ensuring that no transaction is violating the insider information rule on post facto basis Yearly risk search on all the Trust clients, settlors and beneficiaries Ensure processes are prepared, updated and implemented Vigilance on immovable properties of the Trusts Updating master sheets and ready reckoner information for the trusts on as required basis Ensuring client complaints are resolved on timely basis Checking of fiduciary compliances e.g. Checking distributions are made on timely basis to beneficiaries Review of respective trust investments with investment advisors Ensuring fees charged are as per the agreed terms for all the Trust clients by the service providers Ensuring confirmations of taxes paid by clients for revocable trusts on annual basis Risk & Technology Review of risk register on periodic basis and getting the required actions implemented Preparing and implementing the RCSA (Risk Control Self-Assessment) checklist for the Trust Administration Team Updating the ICAAP document/Risk documents for Estate Planning Business Ensure periodic review of client database from risk perspective Implement technology solutions in co-ordination with BSG teams to automate the work and bring in efficiency Audit Co-ordinating with auditors for their requirements internal, GST, IFC etc. Co-ordinate with the internal team & internal audit team to ensure closure of audit issues for allocated areas Job Requirements CA/MBA with ~10 yrs experience. Others can apply subject to higher experience Background in risk and exposure to tech solutioning will be an added advantage Solution oriented with strong communication skills Temperament to work in teams Ability to interact and co-ordinate with multiple stakeholders including other businesses, teams and individuals within the organization across levels Preferably have experience and knowledge of taxation, GST, TDS Eligibility Spent minimum 1 year in the same division function role location Applications can be made for roles in same level or one level above

R0401865 Risk and Control Analyst, NCT Job Title: Risk and Control Analyst, NCT Location: Bangalore/ Pune, India Role Description To assist with the management of the organizations Operational Risk framework by performing Control Effectiveness Testing against the controls identified within the Risk and Control Inventory process. This will enable support of the Banks strategic objectives by providing meaningful insight and guidance to a range of internal stakeholders across the Corporate Banking Divisions. This role is exclusively for candidates who have experience in Corporate Banking Operations internal control testing. As an Analyst, you will be responsible for providing teams with an informed opinion on the effectiveness of controls they operate and how to mitigate operational risks. You will undertake testing of controls to validate designs, operating effectiveness and sustainability of controls operated by the Corporate Banking Operations team/s. You will need to articulate findings from testing work and raise issues where appropriate and agree actions plans to mitigate risks identified. What we’ll offer you As part of our flexible scheme, here are just some of the benefits that you’ll enjoy Best in class leave policy Gender neutral parental leaves 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Employee Assistance Program for you and your family members Comprehensive Hospitalization Insurance for you and your dependents Accident and Term life Insurance Complementary Health screening for 35 yrs. and above Your key responsibilities Operational Risk Controls Testing Perform the Control Assurance Testing against the requirements – Design and Operative effectiveness testing Have experience in Corporate Banking products – Trade Finance, Lending Operations, Trust and Agency services, Securities settlements etc Collaborate with stakeholders globally to understand end to end process Provide advice and agree actions to optimize management of risks Develop ongoing relationships with key business stakeholders Share and adopt learnings and utilize expertise across the organization, in relation to risk management and best practice controls. Maintain a structured testing plan to include method, levels of sample testing, stakeholder engagement and timelines for completion, follow up meetings, documented findings, and agreement on remedial action plans. Articulating verbally and write Controls Testing reports with minimal supervision Delivering Controls Testing reviews in line with quality and timeline expectations – accountable for the accuracy of data in the Controls Testing templates Developing and maintaining relationships with stakeholders, and represent the Controls Testing & Execution team in meetings, working groups etc., as required Delivering quality outputs and own assigned tasks with a proactive approach Escalating issues with proposed solutions to the team lead in a timely fashion Maintaining relationships within the team Establishing and maintaining collaborative relationships with staff (e.g.,CB Operations, Risk officers etc.) as required to drive the completion of testing activity Your skills and experience The role requires the individual to have experience in conducting QA reviews as follows: 5+ years of experience in risk management, audit, compliance, corporate banking products, or operational risk roles ideally related to control testing Logical thinker, able to break down a problem into bite-size components, and plan the required steps of control, to arrive at a solution Comfort with speaking up and providing challenges, whilst simultaneously managing internal relationships Business awareness combined with enhanced communication skills Understanding of Operational Risk Control Testing principles Experience in running effective Operational Risk Control Testing reviews Ability to remain objective and independently assess processes in operational areas Ability to communicate and maintain an effective working relationship with the various Ops teams Inquisitive and probing approach to problem solving and general assessment Strong analytical skills, high attention to detail, solid organizational and interpersonal skills Strong ability to interact with, collaborate, communicate and influence individuals at all levels Effective problem solving and decision making capability Experience operating in a complex, global environment Excellent written, oral, and presentation skills Profound knowledge and experience of various Operational risk environments within Corporate Banking divisions Ability to work in fast-paced environment Open minded, able to share information, transfer knowledge and expertise to team members Keeps pace with technical/operational innovation maintains understanding of the Corporate Banking processes/products Proficient with MS Office programs (Excel, PowerPoint, Word, etc.) Education / Qualifications Bachelor’s degree level or equivalent qualification / work experience How we’ll support you Training and development to help you excel in your career Coaching and support from experts in your team A culture of continuous learning to aid progression A range of flexible benefits that you can tailor to suit your needs About us and our teams Please visit our company website for further information: https://www.db.com/company/company.htm

Job Role Fiduciary responsibility Sending annual mailers to clients on insider information rule and ensuring that no transaction is violating the insider information rule on post facto basis Yearly risk search on all the Trust clients, settlors and beneficiaries Ensure processes are prepared, updated and implemented Vigilance on immovable properties of the Trusts Updating master sheets and ready reckoner information for the trusts on as required basis Ensuring client complaints are resolved on timely basis Checking of fiduciary compliances e.g. Checking distributions are made on timely basis to beneficiaries Review of respective trust investments with investment advisors Ensuring fees charged are as per the agreed terms for all the Trust clients by the service providers Ensuring confirmations of taxes paid by clients for revocable trusts on annual basis Risk & Technology Review of risk register on periodic basis and getting the required actions implemented Preparing and implementing the RCSA (Risk Control Self-Assessment) checklist for the Trust Administration Team Updating the ICAAP document/Risk documents for Estate Planning Business Ensure periodic review of client database from risk perspective Implement technology solutions in co-ordination with BSG teams to automate the work and bring in efficiency Audit Co-ordinating with auditors for their requirements internal, GST, IFC etc. Co-ordinate with the internal team & internal audit team to ensure closure of audit issues for allocated areas Job Requirements CA/MBA with ~10 yrs experience. Others can apply subject to higher experience Background in risk and exposure to tech solutioning will be an added advantage Solution oriented with strong communication skills Temperament to work in teams Ability to interact and co-ordinate with multiple stakeholders including other businesses, teams and individuals within the organization across levels Preferably have experience and knowledge of taxation, GST, TDS Eligibility Spent minimum 1 year in the same division function role location Applications can be made for roles in same level or one level above

About The Role Skill required: Control Testing - Agile testing Designation: Regulatory Compliance Senior Analyst Qualifications: Any Graduation Years of Experience: 5 to 8 years About Accenture Accenture is a global professional services company with leading capabilities in digital, cloud and security.Combining unmatched experience and specialized skills across more than 40 industries, we offer Strategy and Consulting, Technology and Operations services, and Accenture Song all powered by the worlds largest network of Advanced Technology and Intelligent Operations centers. Our 699,000 people deliver on the promise of technology and human ingenuity every day, serving clients in more than 120 countries. We embrace the power of change to create value and shared success for our clients, people, shareholders, partners and communities.Visit us at www.accenture.com What would you do? As a Risk & Controls Testing Senior Analyst, you will be instrumental in the day-to-day management of the second line of defense Risk and Control Self-Assessment (RCSA) program.This role is responsible for assessing the design and operating effectiveness of internal controls, in close partnership with first and second line business process owners.You will play a critical role in ensuring robust risk management practices within a dynamic financial services environment. What are we looking for? Written and verbal communicationExecute Control Design Assessments, which includes conducting comprehensive process walkthroughs and/or researching relevant process documentation.Conduct Control Performance Testing, which involves an audit of control operations utilizing robust, risk-based sampling methodologies.Create detailed test steps and a comprehensive evidence request list, managing evidence requests to ensure timely turnaround and completion.Document all testing activities and necessary criteria in professional workpapers, ensuring workpapers are adequately captioned and maintained.Conduct thorough quality reviews of RCSA CONTROLS testing activities to ensure accuracy and completeness.Confirm any identified control design or performance deficiencies with control owners, meticulously assessing the impact of control weaknesses, and raising findings to RCSA management.Present findings clearly and concisely to process owners and manage the timely development and implementation of remediation plans.Critically challenge remediation plans to ensure they lead to sustainable resolution of the root cause.Validate finding closures and collaborate with control owners to update associated risks and controls 4+ years of experience in Risk Management, Auditing, Compliance, and/or Finance, preferably within Financial Services organizations.Experience with COSO and ISO ERM/ORM frameworks and their practical application to internal controls is strongly preferred.Demonstrated experience in identifying, documenting, and testing internal controls is strongly preferred. Experience with analyzing automated controls is favorable.Ability to quickly absorb and comprehend complex information presented in various formats, adapting to new information and changing processes quickly and effectively.Skilled in analyzing information to identify patterns, relationships, and potential issues within a process.Proven ability to simultaneously manage multiple time-sensitive activities and deliverables.Strong detail-orientation and an unwavering commitment to accuracy.Experience with Google Sheets, Docs, and Slides or MS Excel is preferred.Experience with a Governance, Risk, Compliance (GRC) tool; Archer IRM is preferred.Excellent verbal and written communication skills for reporting and presenting findings.Strong interpersonal skills to effectively engage with control owners and management.Proven analytical skills Roles and Responsibilities: In this role you are required to do analysis and solving of increasingly complex problems Your day to day interactions are with peers within Accenture You are likely to have some interaction with clients and/or Accenture management You will be given minimal instruction on daily work/tasks and a moderate level of instruction on new assignments Decisions that are made by you impact your own work and may impact the work of others In this role you would be an individual contributor and/or oversee a small work effort and/or team Please note that this role may require you to work in rotational shiftsPrepare and present comprehensive reports regarding RCSA management activities and findings to stakeholders.Oversee adherence to RCSA standards, including providing training to internal departments on program requirements and best practices. Qualification Any Graduation

About The Role Skill required: Control Testing - Agile testing Designation: Regulatory Compliance Specialist Qualifications: Any Graduation Years of Experience: 7 to 11 years About Accenture Accenture is a global professional services company with leading capabilities in digital, cloud and security.Combining unmatched experience and specialized skills across more than 40 industries, we offer Strategy and Consulting, Technology and Operations services, and Accenture Song all powered by the worlds largest network of Advanced Technology and Intelligent Operations centers. Our 699,000 people deliver on the promise of technology and human ingenuity every day, serving clients in more than 120 countries. We embrace the power of change to create value and shared success for our clients, people, shareholders, partners and communities.Visit us at www.accenture.com What would you do? As a Risk & Controls Testing Senior Analyst, you will be instrumental in the day-to-day management of the second line of defense Risk and Control Self-Assessment (RCSA) programThis role is responsible for assessing the design and operating effectiveness of internal controls, in close partnership with first and second line business process owners. You will play a critical role in ensuring robust risk management practices within a dynamic financial services environment. What are we looking for? Written and verbal communicationExecute Control Design Assessments, which includes conducting comprehensive process walkthroughs and/or researching relevant process documentation.Conduct Control Performance Testing, which involves an audit of control operations utilizing robust, risk-based sampling methodologies.Create detailed test steps and a comprehensive evidence request list, managing evidence requests to ensure timely turnaround and completion.Document all testing activities and necessary criteria in professional workpapers, ensuring workpapers are adequately captioned and maintained.Conduct thorough quality reviews of RCSA CONTROLS testing activities to ensure accuracy and completeness.Confirm any identified control design or performance deficiencies with control owners, meticulously assessing the impact of control weaknesses, and raising findings to RCSA management.Present findings clearly and concisely to process owners and manage the timely development and implementation of remediation plans.Critically challenge remediation plans to ensure they lead to sustainable resolution of the root cause.Validate finding closures and collaborate with control owners to update associated risks and controls 6+ years of experience in Risk Management, Auditing, Compliance, and/or Finance, preferably within Financial Services organizations.Experience with COSO and ISO ERM/ORM frameworks and their practical application to internal controls is strongly preferred.Demonstrated experience in identifying, documenting, and testing internal controls is strongly preferred. Experience with analyzing automated controls is favorable.Ability to quickly absorb and comprehend complex information presented in various formats, adapting to new information and changing processes quickly and effectively.Skilled in analyzing information to identify patterns, relationships, and potential issues within a process.Proven ability to simultaneously manage multiple time-sensitive activities and deliverables.Strong detail-orientation and an unwavering commitment to accuracy.Experience with Google Sheets, Docs, and Slides or MS Excel is preferred.Experience with a Governance, Risk, Compliance (GRC) tool; Archer IRM is preferred.Excellent verbal and written communication skills for reporting and presenting findings.Strong interpersonal skills to effectively engage with control owners and management.Proven analytical skills Roles and Responsibilities: In this role you are required to do analysis and solving of moderately complex problems May create new solutions, leveraging and, where needed, adapting existing methods and procedures The person would require understanding of the strategic direction set by senior management as it relates to team goals Primary upward interaction is with direct supervisor May interact with peers and/or management levels at a client and/or within Accenture Guidance would be provided when determining methods and procedures on new assignments Decisions made by you will often impact the team in which they reside Individual would manage small teams and/or work efforts (if in an individual contributor role) at a client or within Accenture Please note that this role may require you to work in rotational shifts Prepare and present comprehensive reports regarding RCSA management activities and findings to stakeholders. Oversee adherence to RCSA standards, including providing training to internal departments on program requirements and best practices. Qualification Any Graduation

About the Role: OSTTRA India The RoleRisk Analyst The Team: Osttra is the home of MarkitSERV, Traiana, Trioptima and Reset businesses that offer post trade services to a community of 10k+ clients. Our company brings together people, processes, and networks to solve the markets most challenging problems. Innovating, integrating, and optimising the post-trade workflow we are positively shaping the way the community works forever. The Impact Being a member of the OSTTRA Corporate Risk office means you will be part of a diverse and collaborative team. The Corporate Risk office serves as the front-line risk team for the organization and is accountable for assessing and instituting effective management of Enterprise Risks, as well as conformance with enterprise policies, frameworks, and standards. Whats in it for you The successful candidate will serve as a risk champion who will partner with the Line Managers, Business, Legal, Risk, and Compliance teams, as well as the rest of the control functions in the identification, assessment, monitoring, and mitigation of risks in both business-as-usual processes and across change initiatives. The candidate in this role will assist with managing a comprehensive portfolio of risk management action plans across the organization, and will challenge, problem solve and escalate issues/concerns as appropriate. The Risk Analyst for this role should be highly perceptive. The candidate should also have the ability to communicate effectively and present plans in a convincing way. Ultimately, the right candidate will ensure that our company secures its reputation and profitability by controlling and managing Enterprise Risks.This is an excellent opportunity to be part of a team based out of Gurgaon and to work with colleagues across multiple regions globally. Responsibilities: Identify, assess, and mitigate enterprise-wide risks Assist in the ongoing development, implementation, and maintenance of the organization's Enterprise Risk Management (ERM) framework. Ensure compliance with relevant risk management standards and best practices. Continuously improve the ERM framework based on internal and external assessments. Assist in the implementation and maintenance of risk management processes Conduct risk assessments (e.g., Risk and Control Self-Assessments/RCSA) and data analysis Support the development and maintenance of the risk register Prepare and maintain risk-related documentation/Prepare reports and presentations to risk management and company leadership Assist with the development and delivery of risk management training/Develop and maintain a robust risk management culture Contribute to the development of risk mitigation plans Proactively identify and escalate potential risks Collaborate with other departments to gather risk information **NOTEThe Primary Responsibilities of this role are not limited to the details above.** What Were Looking For Bachelors degree or equivalent work experience. Minimum of 2-3 years of related field experience (financial services industry experience, must include direct experience in risk management) Knowledge of the financial services industry, products, and regulatory environment Experience conducting risk and control assessments (RCSA) Knowledge of Key Process Indicators (KPI) and Key Risk Indicators (KRI) Familiarity with industry compliance standards and regulations Proficient in Google Workspace and Microsoft Office suite. Experience with data visualization software (e.g., Power BI) a plus Strong analytical skills with high attention to detail and accuracy Excellent verbal, written, interpersonal, and presentation skills/Proficient in English a must Ability to understand broader business issues Strong organizational, multi-tasking, and prioritizing skills - ability to drive in a fast paced, deadline driven environment and work under pressure in a dynamic and complex environment. The LocationGurgaon, India Statement: About OSTTRA Candidates should note that OSTTRAis an independentfirm, jointly owned by S&P Global and CME Group. As part of the joint venture, S&P Global providesrecruitmentservices to OSTTRA - however, successful candidates will be interviewed and directly employed by OSTTRA, joiningour global team of more than 1,200 posttrade experts. OSTTRA was formed in 2021 through the combination of four businesses that have been at the heart of post trade evolution and innovation for the last 20+ yearsMarkitServ, Traiana, TriOptima and Reset. OSTTRA is a joint venture, owned 50/50 by S&P Global and CME Group. Joining the OSTTRA team is a unique opportunity to help build a bold new business with an outstanding heritage in financial technology, playing a central role in supporting global financial markets.Learn more atwww.osttra.com. Whats In It For You Benefits: We take care of you, so you cantake care of business. We care about our people. Thats why we provide everything youand your careerneed to thrive at S&P Global. Health & WellnessHealth care coverage designed for the mind and body. Continuous LearningAccess a wealth of resources to grow your career and learn valuable new skills. Invest in Your FutureSecure your financial future through competitive pay, retirement planning, a continuing education program with a company-matched student loan contribution, and financial wellness programs. Family Friendly PerksIts not just about you. S&P Global has perks for your partners and little ones, too, with some best-in class benefits for families. Beyond the BasicsFrom retail discounts to referral incentive awardssmall perks can make a big difference. For more information on benefits by country visithttps://spgbenefits.com/benefit-summaries Recruitment Fraud Alert If you receive an email from a spglobalind.com domain or any other regionally based domains, it is a scam and should be reported to reportfraud@spglobal.com. S&P Global never requires any candidate to pay money for job applications, interviews, offer letters, pre-employment training or for equipment/delivery of equipment. Stay informed and protect yourself from recruitment fraud by reviewing our guidelines, fraudulent domains, and how to report suspicious activity here. ---- Equal Opportunity Employer S&P Global is an equal opportunity employer and all qualified candidates will receive consideration for employment without regard to race/ethnicity, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, military veteran status, unemployment status, or any other status protected by law. Only electronic job submissions will be considered for employment. If you need an accommodation during the application process due to a disability, please send an email to EEO.Compliance@spglobal.com and your request will be forwarded to the appropriate person. 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Job Role Fiduciary responsibility Sending annual mailers to clients on insider information rule and ensuring that no transaction is violating the insider information rule on post facto basis Yearly risk search on all the Trust clients, settlors and beneficiaries Ensure processes are prepared, updated and implemented Vigilance on immovable properties of the Trusts Updating master sheets and ready reckoner information for the trusts on as required basis Ensuring client complaints are resolved on timely basis Checking of fiduciary compliances e.g. Checking distributions are made on timely basis to beneficiaries Review of respective trust investments with investment advisors Ensuring fees charged are as per the agreed terms for all the Trust clients by the service providers Ensuring confirmations of taxes paid by clients for revocable trusts on annual basis Risk & Technology Review of risk register on periodic basis and getting the required actions implemented Preparing and implementing the RCSA (Risk Control Self-Assessment) checklist for the Trust Administration Team Updating the ICAAP document/Risk documents for Estate Planning Business Ensure periodic review of client database from risk perspective Implement technology solutions in co-ordination with BSG teams to automate the work and bring in efficiency Audit Co-ordinating with auditors for their requirements internal, GST, IFC etc. Co-ordinate with the internal team & internal audit team to ensure closure of audit issues for allocated areas Job Requirements CA/MBA with ~10 yrs experience. Others can apply subject to higher experience Background in risk and exposure to tech solutioning will be an added advantage Solution oriented with strong communication skills Temperament to work in teams Ability to interact and co-ordinate with multiple stakeholders including other businesses, teams and individuals within the organization across levels Preferably have experience and knowledge of taxation, GST, TDS Eligibility Spent minimum 1 year in the same division function role location Applications can be made for roles in same level or one level above

You will be responsible for reviewing and analyzing alerts triggered in SAS according to the AML SOP within the specified TATs. Cases that require escalation to the Investigation Team must be identified and actioned promptly as per the AML SOP guidelines. Your role will involve assisting the Manager AML by providing comprehensive quality analysis for the reviewed cases. It is essential to effectively communicate any key Financial Crimes risks discovered during the review and analysis of customer accounts to the Line Manager and/or Head of Transactions Monitoring/delegate. Additionally, sharing innovative ideas for enhancing work effectiveness and efficiency will be encouraged. Your responsibilities will include monitoring the SAS AML System and conducting necessary reviews to facilitate the closure of alerts or initiate further investigation/reporting. Any instances of Compliance Policy breaches, Financial Crimes concerns, or suspicions should be promptly highlighted to the Line Manager. You will be required to conduct AML inquiries/investigations based on directives received from the Compliance Manager on an ongoing basis. Assisting the Team Manager in addressing all RCSA, QA, and Audit observations with timely updates in SAS notes and follow-up actions will be part of your role. Handling referrals received from business units in adherence to the bank's policy without breaching applicable process guidelines is crucial. Additionally, completing mandatory eLearning and face-to-face trainings on time is essential for your role. As for qualifications, you should hold a Graduate degree with at least 4 years of experience in AML Transactions Monitoring. Possessing a CAMS Certified or any other recognized certification will be a plus. Market knowledge of IT tools/software used for AML monitoring systems is desired. A good understanding of local AML/CFT rules and legislation, as well as international best practices/requirements, is required. You should have organizational awareness, including knowledge of risks, products, processes, and controls, along with proficiency in MS Excel and Business Object (BO) reports. Strong communication skills, both spoken and written English, are necessary. Being a team player with the ability to work under pressure while adhering to timelines is crucial. Having a customer-centric approach, attention to detail, quality, and analytical thinking skills are important for this role. The organization you will be a part of is a leading financial institution in MENA that values innovation, customer-centricity, and teamwork. Despite its long-standing history, the institution fosters a challenger mindset, driven by a diverse and dynamic team dedicated to putting customers first. The mission is to help customers achieve their goals and unlock their vision of success. By delivering superior service, leading with innovation, and treating colleagues with dignity and fairness, the organization aims to grow shareholder value. Active community contribution through responsible banking is a key part of the mission to inspire more people to rise.,

The Senior Analyst, Controllership (L09) at Synchrony will play a crucial role in ensuring compliance with governance standards across the Finance organization. You will be a part of a centralized team responsible for driving the implementation of a new Governance Operating Model within Finance. Your key responsibilities will include supporting various aspects such as Risk Assessment, Change Management, Monitoring and Reporting, and Issue & Incident Management. Your role will involve collaborating with different teams within Finance to maintain relevant metrics, escalate risks as needed, and provide an aggregated view of governance activities and results. In this role, you will also be involved in facilitating the completeness of the Process Universe, challenging and reporting on Risk and Control Assessments, and coordinating Issue Management activities. You will work closely with 1st Line Governance counterparts to ensure effective governance practices are embedded across the organization. Additionally, you will support the development of Finance-specific policies, procedures, job aids, and training materials. You will partner with the Finance Learning and Development team to create educational resources for employees and participate in special projects related to Governance as Synchrony continues to enhance its programs. The ideal candidate for this role should hold a Bachelor's degree in a related field and have 2+ years of experience in Governance, External/Internal Audit, or relevant professional roles. Strong attention to detail, excellent communication skills, and the ability to drive results independently are essential for success in this position. Experience in Issues Management, SOX, RCSA, and Metrics Reporting within a Financial Services organization is highly desirable. If you are a proactive individual with a passion for ensuring governance compliance and driving process improvements, we encourage you to apply for this exciting opportunity. Join us at Synchrony and be part of a dynamic team dedicated to advancing diverse talent and fostering a culture of innovation in the financial services industry.,

As a Risk Management Specialist based in Marol (Mumbai), your primary responsibility will be to oversee Financial and Operational Risk reporting to the Region/Group. You will be required to adopt and implement Generali Group Policies and Guidelines, ensuring compliance across the organization. Your key tasks will include conducting annual Operational Risk Assessments (ORA) and Main/Emerging Risk Self Assessments (MRSA). It will be your duty to monitor and control Key Risks and Focused Business Risks (FBRs), driving improvements in governance standards. Additionally, you will review and finalize Risk Control Self-Assessments (RCSA) for each function, seeking approvals from relevant function heads. Furthermore, you will be tasked with preparing Risk Opinions on various business cases such as investment instruments/limits, Capital infusion plans, and Intra-group transactions. You will also conduct risk assessments related to onboarding new partners and vendors, ensuring comprehensive evaluations. Your role will involve the preparation of Risk Management Committee (RMC) presentations and minutes, as well as ensuring the timely closure of action items from committee meetings. You will also be responsible for monitoring and controlling Regulatory/Group/Risk Appetite Framework (RAF) limits. In addition to the above responsibilities, you will engage with various functions to identify risks thoroughly and ensure effective controls are in place to mitigate these risks. You will coordinate with enterprise and sales functions, as well as internal audit teams, demonstrating your ability to prepare reports and presentations for discussions at different levels including Leadership Teams, Management Sub-Committees, Board Committees, and regulatory bodies. To excel in this role, you should hold a B.Tech, CA, MBA, and any desired certifications such as FRM, IRM, or PRMIA. A minimum of 2-5 years of experience in Insurance, Financial Services, Consulting, Risk, or Audit is required, along with strong analytical skills and a mindset geared towards problem-solving.,

Key Responsibilities: 1. IT Control Testing and Evaluation: Plan and execute control testing of ITGCs and automated application controls. Evaluate design and operating effectiveness of controls related to: User access management (IAM) Change management System development lifecycle (SDLC) Backup & recovery IT operations and infrastructure security Document testing procedures, results, and exceptions in line with ERM standards. 2. Risk and Control Self-Assessments (RCSA): Support IT RCSA activities across technology platforms and infrastructure. Identify and assess IT risks, including cybersecurity threats and third-party/vendor risks. Collaborate with IT stakeholders to remediate identified control gaps and improve IT control posture. 3. Regulatory and Framework Compliance: Ensure alignment with regulatory requirements and industry frameworks such as: SOX (Sarbanes-Oxley) FFIEC, OCC, NIST, COBIT, ISO 27001 Monitor compliance with internal IT policies, procedures, and enterprise risk tolerance. 4. Stakeholder Engagement & Collaboration: Work closely with IT, Information Security, Compliance, and Internal Audit teams. Serve as the subject matter expert (SME) on IT control testing and risk identification. Communicate findings, risks, and recommendations clearly to technical and non-technical stakeholders. 5. Reporting and Documentation: Develop testing scripts, risk-control matrices, and evidence documentation. Prepare executive-level reports highlighting key findings, trends, and remediation status. Track control testing progress and report deviations from expected timelines or outcomes. 6. Continuous Improvement: Stay current with technology risk trends, emerging threats, and evolving compliance standards. Recommend enhancements to IT control testing methodologies, tooling, and governance processes. Key Qualifications: Education: Bachelors degree in Information Technology, Computer Science, Cybersecurity, Risk Management, or related fields. Advanced certifications are a plus. Certifications (preferred): CISA (Certified Information Systems Auditor) CRISC (Certified in Risk and Information Systems Control) CISSP, CGEIT, or ITIL certifications Experience: 810 years in IT risk management, internal audit, or control testing within financial services or technology-driven environments. Technical Skills: Strong knowledge of ITGCs, application controls, and system security principles Hands-on experience with GRC platforms (e.g., Archer, MetricStream, ServiceNow GRC) Familiarity with scripting or automation tools for testing/reporting is a plus Proficient in Excel, Power BI, or Tableau for data analysis and reporting Please share your cv at surbhi.malhotra@nlbtech.com

The Company Our client is a leading provider of progressive post-trade solutions for the global OTC markets across interest rate, FX, equity and credit asset classes. It incorporates CME Groups optimization businesses –Traiana, TriOptima, and Reset & headquartered in London. The Job As a risk champion who will partner with the Line Managers, Business, Legal, Risk, and Compliance teams, as well as the rest of the control functions in the identification, assessment, monitoring, and mitigation of risks in both business-as-usual processes and across change initiatives. The candidate in this role will assist with managing a comprehensive portfolio of risk management action plans across the organization, and will challenge, problem solve and escalate issues/concerns as appropriate. Identify, assess, and mitigate enterprise-wide risks Assist in the ongoing development, implementation, and maintenance of the organization's Enterprise Risk Management (ERM) framework. Ensure compliance with relevant risk management standards and best practices. Continuously improve the ERM framework based on internal and external assessments. Assist in the implementation and maintenance of risk management processes Conduct risk assessments (e.g., Risk and Control Self-Assessments/RCSA) and data analysis Support the development and maintenance of the risk register Prepare and maintain risk-related documentation/Prepare reports and presentations to risk management and company leadership Assist with the development and delivery of risk management training/Develop and maintain a robust risk management culture Contribute to the development of risk mitigation plans Proactively identify and escalate potential risks Collaborate with other departments to gather risk information Your Profile Bachelor’s degree or equivalent work experience. Minimum of 1+ years of related field experience (financial services industry experience, must include direct experience in risk management) Knowledge of the financial services industry, products, and regulatory environment Experience conducting risk and control assessments (RCSA) Knowledge of Key Process Indicators (KPI) and Key Risk Indicators (KRI) Familiarity with industry compliance standards and regulations Proficient in Google Workspace and Microsoft Office suite. Experience with data visualization software (e.g., Power BI) a plus Strong analytical skills with high attention to detail and accuracy Excellent verbal, written, interpersonal, and presentation skills/Proficient in English a must Ability to understand broader business issues Strong organizational, multi-tasking, and prioritizing skills - ability to drive in a fast paced, deadline driven environment and work under pressure in a dynamic and complex environment.

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.,

You are a strategic thinker passionate about ensuring a robust control environment. You have found the right team. As a Control Management Associate in our Finance team, you will spend each day overseeing control issue identification, escalation, evaluation, and remediation. As a Control Management Associate in our Finance team, you will play an instrumental role in promoting consistency of approach across both Corporate and Line of Business Finance teams. Job responsibilities Develop an enhanced operating model and organizational structure that allows for the continuous assessment of the control environment Design and implement an evaluation process that will assess the impact of issues and deficiencies raised across RCSA, SOX, CCAP, Internal Audit, External Regulators and Attestation Qualifications Target a single source of reporting across Finance to support Control Environment Affirmations and Representations Identify opportunities to automate control testing and to implement continuous monitoring rather than point-in-time evaluation Required qualifications, capabilities, and skills 3+ years of business and financial management experience Execution focused self-starter with strong initiative and eye for detail; able to take ownership and work independently, as well as on a team Excellent oral and written communication skills Solid organizational skills and ability to prioritize Comfortable operating in a demanding and fast-paced environment Responds with flexibility in dynamic environment and comfortable with addressing ambiguity Demonstrated ability to partner well and influence others

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 an integral part of DBS Bank Limited IBU located at GIFT City, Gandhinagar, your role as a key member of the team will involve assisting the IBU COO in implementing DBS Policy and Processes to ensure a robust Risk and Control environment. Your primary responsibilities will include timely implementation of policies, conducting thematic reviews on AML/CFT, enhancing AML policies and controls, tracking closure of Audit issues, assisting in GL and Nostro reconciliations, monitoring KRIs, and actively supporting RCSA activities. You will be expected to assess IBU's compliance with CDD/AML Policy, monitor adherence to internal policies and external regulations, identify control gaps, drive remediation efforts, conduct Thematic Reviews, investigate and resolve AML/KYC related issues, maintain accurate records, stay updated with regulatory changes, engage stakeholders, and promote a strong risk culture within the organization. The ideal candidate for this role should have a minimum of 5 years of relevant experience in Institutional/Wholesale/Corporate Banking or AML/KYC. Educational qualifications such as CA/MBA/Graduate with at least 5 years of relevant experience are preferred. Additionally, knowledge of financial markets and instruments would be beneficial. Core competencies required for this position include being data-driven, proficient in Microsoft Excel and PowerPoint, possessing critical thinking and analytical abilities, attention to detail, and effective written and verbal communication skills. Technical competencies expected from you include knowledge of IFSCA/RBI guidelines on AML/KYC, understanding of customer due diligence (CDD) and enhanced due diligence (EDD), and awareness of industry trends and emerging risks. DBS India values a culture where all employees are respected, valued, and their opinions count. Continuous professional development, flexible working opportunities, and growth within an inclusive and diverse environment are key aspects of the workplace. The expected value-driven behaviors include demonstrating business performance through PRIDE 2.0 propositions, ensuring customer focus, building pride and passion to protect DBS reputation, enhancing self-knowledge and competencies, maintaining honesty and integrity, and more. This full-time position is based in Gandhi Nagar, GIFT City, Gujarat, and falls under the COO Office/Business Management & Support category. Your commitment to upholding the highest standards of performance, compliance, and risk management will be instrumental in contributing to the success of DBS Bank Limited IBU.,

Hiring, RCSA (Risk and Control Self-Assessment). 6-9 years Able to handle Tech Risk as a part of RCSA Control Manage EOL/EOS of Softwares Must be hands-on in Excel Should be proficient in Audit handling

Position Purpose The Manager, RISK ORM 2S ISPL will report hierarchically and functionally to the AVP/VP of RISK ORM 2S ISPL. The RISK ORM perimeter includes all operational risks for business processes, which are performed in Chennai/Mumbai. Located within the RISK Function of BNP Paribas, the role of the Assistant Manager, RISK ORM 2S ISPL, is to ensure that the components of the operational risk management framework are implemented and is operating effectively in 2S ISPL Chennai and Mumbai. Responsibilities Direct Responsibilities The RISK ORM 2S ISPL mandate is to independently challenge and supervise the operational risk management framework of BP2S activities as described in the level 2 procedure Organizational Framework and Governance for Operational Risk Management and Permanent Control Framework. Contributing Responsibilities As the 2nd line of defense, the Manager, RISK ORM 2S ISPL, has the following general responsibilities for the operational risk processes and themes within the scope of RISK ORM including fraud, third-party, and Information and Communication Technology (ICT) risk management. Define and consistently apply the 2S RISK ORM methodologies and procedures (normative framework), and adapt locally as required Independently challenge the identification and assessment of the operational risk profile (actual, potential and emerging) and the risk mitigation framework implemented in the operating entities, through opinions, and sign offs where required Ensuring effective implementation of the risk mitigation strategies, framework and actions with the 1st line of defense, through follow up of action plans and independent challenge of controls, either through execution of 2nd level controls, or where applicable, through other kinds of controls Independently assess and potentially alert key stakeholders on the level of risk and on the risk mitigation framework status Contribute to operational risk awareness and training on the risk mitigation framework. Main Accountabilities of the Role Qualitative Check & Challenge of 1st line of defense mainly by the execution of level 2 controls and RCSA to provide an opinion on the effectiveness of the control framework as per Group guidelines. Independently challenge significant incidents in Risk tool and related remediation plan. Proactively propose and conduct thematic reviews promptly with recommendations. Ensure the correct implementation and application of Group and 2S governance (e.g. in terms of Internal Control Committee (ICC) and operational risk management related committees, etc.) Promote Risk awareness and Risk culture of operational risk management across ISPL teams Ensure management reporting and Dashboard either to local management or to the Group are reported on time. Proactive risk anticipation and raise alert on key risk topics thereby bringing in significant management attention and propose remediation. People Responsibilities. Provide conducive work environment for a healthy working atmosphere in a competitive environment. Upskilling team members basis the skill matrix and PDP follow through. Promote training awareness, recognize team members, value their contribution and provide opportunities for growth and mobility. Fair dealing with staff members on day to day business deliverables and ensure administrative aspects including attendance, training and continuous feedback are totally intact. Technical & Behavioral Competencies Key Behavioral aspects Integrity, Ethics and values Collaboration and partnering Innovation and catalyst Building capability leading by example, influence and impact Others Individual - confidence and self-motivation. Interpersonal - high energy levels, communication skills, teamwork and persuasiveness. Managerial - Leadership skills, decisive decision-making, and managing teams and individuals. Analytical - The ability to review data and scenarios and make good decisions in a timely fashion Technical aspects Identification and assessment of risk and controls Verification and controls assurance Independent challenge, quality review and provide recommendations Governance, reporting and risk awareness. Specific Qualifications (if required) Tertiary-level qualification essential with CA/CWA/CPA qualifications desirable or its equivalent Skills Referential Behavioural Skills : (Please select up to 4 skills) Decision Making Ability to deliver / Results driven Creativity & Innovation / Problem solving Critical thinking Transversal Skills: (Please select up to 5 skills) Ability to understand, explain and support change Ability to develop and adapt a process Ability to set up relevant performance indicators Ability to manage / facilitate a meeting, seminar, committee, training Analytical Ability Education Level: Master Degree or equivalent Experience Level At least 9 years Audit background will be an added advantage. CA/CWA inter / is an added advantage.

Position Purpose The Manager, RISK ORM 2S ISPL will report hierarchically and functionally to the AVP/VP of RISK ORM 2S ISPL. The RISK ORM perimeter includes all operational risks for business processes, which are performed in Chennai/Mumbai. Located within the RISK Function of BNP Paribas, the role of the Assistant Manager, RISK ORM 2S ISPL, is to ensure that the components of the operational risk management framework are implemented and is operating effectively in 2S ISPL Chennai and Mumbai. Responsibilities Direct Responsibilities The RISK ORM 2S ISPL mandate is to independently challenge and supervise the operational risk management framework of BP2S activities as described in the level 2 procedure Organizational Framework and Governance for Operational Risk Management and Permanent Control Framework. Contributing Responsibilities As the 2nd line of defense, the Manager, RISK ORM 2S ISPL, has the following general responsibilities for the operational risk processes and themes within the scope of RISK ORM including fraud, third-party, and Information and Communication Technology (ICT) risk management. Define and consistently apply the 2S RISK ORM methodologies and procedures (normative framework), and adapt locally as required Independently challenge the identification and assessment of the operational risk profile (actual, potential and emerging) and the risk mitigation framework implemented in the operating entities, through opinions, and sign offs where required Ensuring effective implementation of the risk mitigation strategies, framework and actions with the 1st line of defense, through follow up of action plans and independent challenge of controls, either through execution of 2nd level controls, or where applicable, through other kinds of controls Independently assess and potentially alert key stakeholders on the level of risk and on the risk mitigation framework status Contribute to operational risk awareness and training on the risk mitigation framework. Main Accountabilities of the Role Qualitative Check & Challenge of 1st line of defense mainly by the execution of level 2 controls and RCSA to provide an opinion on the effectiveness of the control framework as per Group guidelines. Independently challenge significant incidents in Risk tool and related remediation plan. Proactively propose and conduct thematic reviews promptly with recommendations. Ensure the correct implementation and application of Group and 2S governance (e.g. in terms of Internal Control Committee (ICC) and operational risk management related committees, etc.) Promote Risk awareness and Risk culture of operational risk management across ISPL teams Ensure management reporting and Dashboard either to local management or to the Group are reported on time. Proactive risk anticipation and raise alert on key risk topics thereby bringing in significant management attention and propose remediation. People Responsibilities. Provide conducive work environment for a healthy working atmosphere in a competitive environment. Upskilling team members basis the skill matrix and PDP follow through. Promote training awareness, recognize team members, value their contribution and provide opportunities for growth and mobility. Fair dealing with staff members on day to day business deliverables and ensure administrative aspects including attendance, training and continuous feedback are totally intact. Technical & Behavioral Competencies Key Behavioral aspects Integrity, Ethics and values Collaboration and partnering Innovation and catalyst Building capability leading by example, influence and impact Others Individual - confidence and self-motivation. Interpersonal - high energy levels, communication skills, teamwork and persuasiveness. Managerial - Leadership skills, decisive decision-making, and managing teams and individuals. Analytical - The ability to review data and scenarios and make good decisions in a timely fashion Technical aspects Identification and assessment of risk and controls Verification and controls assurance Independent challenge, quality review and provide recommendations Governance, reporting and risk awareness. Specific Qualifications (if required) Tertiary-level qualification essential with CA/CWA/CPA qualifications desirable or its equivalent Skills Referential Behavioural Skills : Decision Making Ability to deliver / Results driven Creativity & Innovation / Problem solving Critical thinking Transversal Skills: Ability to understand, explain and support change Ability to develop and adapt a process Ability to set up relevant performance indicators Ability to manage / facilitate a meeting, seminar, committee, training Analytical Ability Education Level: Master Degree or equivalent Other/Specific Qualifications (if required). Audit background will be an added advantage. CA/CWA inter / is an added advantage.

Assistant Vice President/Vice President - Global Market Front Office Operational Permanent Control Position Purpose Within the GM CCCO department, the GM Operational Permanent Control & TAC/NAC Coordination team (GM OPC) serves as subject matter expert on the Front Office (FO) supervision structure, operational risks assessment, controls and governance. We are looking for a HEAD of OPC/ RPC team. The candidate will have to split the work between 80% to produce the BAU of the team as any other of his teammates and 20% to manage the OPC/ RPC team. Responsibilities Direct Responsibilities 1 . PROTECTION & RISK REMEDIATION: o Strengthen FO to End control set up through the declaration, investigation, analysis of operational risk incidents o Contribute to determine risk reduction actions & coordinate ad-hoc global remediation plans o Drive the Mtier in the answer, follow up and closure of any internal or external recommendation o Materialize, maintain & improve the FO control plan 2. PREVENTION: o Risk Assessment: Perform Risk Assessment at FO level & coordinate Control Plan design and upgrade; roll out the combined RCSA & CRI in APAC o Develop and manage operational risk monitoring measures and reporting (e.g. KRI, Risk Control Self-Assessment (RCSA), Conduct Risk Identification (CRI)) In charge of maintaining the control plan & review the results of controls. o Contribution to the rationalization, cleaning, efficiency of controls while reducing risks o Conduct training and awareness sessions aiming to strengthen a risk mitigation culture. 3. SUPERVISION - VALIDATION PROCESS (TAC/NAC Coordination): Validation process: Coordinate the internal validation of exceptional transactions, new activities, proprietary custom index or automated trading strategies; Provide advisory to FO and Functions on operational risk assessment throughout the validation process. Ensure adherence to the relevant policies & proper implementation of actions points. Ensure timely implementation of conditions. Conduct Post-Implementation Review Ensure the quality and consistency of OPC comments; Ensure the timely implementation of blocking and non-blocking conditions; Provide advisory to FO and Functions on operational risk assessment throughout the validation process; Supervise Adhoc business reviews and post-implementation follow-up. 4 . GOVERNANCE : Coordinate and contribute to the internal control Governance forums and provide advisory on operational risk governance Participate actively and manage GM contribution to other Permanent Control Committees; Contribute to the Regulatory Permanent Control (RPC) global governance forums and oversee the roll out of the regional RPC governance in APAC; Review the Regulatory governances, and drive changes especially in APAC when required based APAC regulatory control plan. Contribute to specific FO processes governance (e.g. Custom Indices, SPV, etc) Coordinate with LOD2&3 on permanent control related topics Contributing Responsibilities TEAM MANAGEMENT : Accountable for the service deliver by the team, provide solution to the team on BAU bottle necks, organize BAU and ensure delivery of BOW, ensure continuity of Business, communicate regularly to Onshore Manager/ Team on issues that are significative regardless of his type (HR/ Production, etc..), ensure team development in the LT & talent retention. Technical & Behavioral Competencies Working experience: 10 years experience, with at least 4 years experiences in managing teams: coaching, career development. 5 years working experience on control maintenance, design, remediation within Operational & Regulatory risks. 5 years working experience within Global Market activities. First experience in change management, outsourcing project. Good knowledge of Microsoft Office applications (e.g. Powerpoint, Word), proficient Excel. Advanced technology skills is a plus (incl. VBA, Python, POWER BI) Specific Qualifications (if required) Academic knowledge: - Master Degree in Finance, Economics, Engineering, Computer Science but open to other courses with business and finance knowledge if relevant working experience. Soft Skills: Ability to develop stakeholder relationships and work in a complex and rapidly/constantly changing environment. Ability to analyze complex issues & solution provider. Ability to work under pressure, to prioritize, summarize. Work in a rigorous manner with high attention to detail. Ability to communicate clearly in both oral and written form (English) Ability to think out of the box. Ability to manage a team to deliver under challenging timelines.

Position Purpose Within the GM CCCO department, the GM Operational Permanent Control & TAC/NAC Coordination team (GM OPC) serves as subject matter expert on the Front Office (FO) supervision structure, operational risks assessment, controls and governance. We are looking for a HEAD of OPC/ RPC team. The candidate will have to split the work between 80% to produce the BAU of the team as any other of his teammates and 20% to manage the OPC/ RPC team. Responsibilities Direct Responsibilities 1 . PROTECTION & RISK REMEDIATION: o Strengthen FO to End control set up through the declaration, investigation, analysis of operational risk incidents o Contribute to determine risk reduction actions & coordinate ad-hoc global remediation plans o Drive the Mtier in the answer, follow up and closure of any internal or external recommendation o Materialize, maintain & improve the FO control plan 2. PREVENTION: o Risk Assessment: Perform Risk Assessment at FO level & coordinate Control Plan design and upgrade; roll out the combined RCSA & CRI in APAC o Develop and manage operational risk monitoring measures and reporting (e.g. KRI, Risk Control Self-Assessment (RCSA), Conduct Risk Identification (CRI)) In charge of maintaining the control plan & review the results of controls. o Contribution to the rationalization, cleaning, efficiency of controls while reducing risks o Conduct training and awareness sessions aiming to strengthen a risk mitigation culture. 3. SUPERVISION - VALIDATION PROCESS (TAC/NAC Coordination): Validation process: Coordinate the internal validation of exceptional transactions, new activities, proprietary custom index or automated trading strategies; Provide advisory to FO and Functions on operational risk assessment throughout the validation process. Ensure adherence to the relevant policies & proper implementation of actions points. Ensure timely implementation of conditions. Conduct Post-Implementation Review Ensure the quality and consistency of OPC comments; Ensure the timely implementation of blocking and non-blocking conditions; Provide advisory to FO and Functions on operational risk assessment throughout the validation process; Supervise Adhoc business reviews and post-implementation follow-up. 4 . GOVERNANCE : Coordinate and contribute to the internal control Governance forums and provide advisory on operational risk governance Participate actively and manage GM contribution to other Permanent Control Committees; Contribute to the Regulatory Permanent Control (RPC) global governance forums and oversee the roll out of the regional RPC governance in APAC; Review the Regulatory governances, and drive changes especially in APAC when required based APAC regulatory control plan. Contribute to specific FO processes governance (e.g. Custom Indices, SPV, etc) Coordinate with LOD2&3 on permanent control related topics Contributing Responsibilities Technical & Behavioral Competencies Working experience: 8-14 years experience 5 years working experience on control maintenance, design, remediation within Operational & Regulatory risks. 5 years working experience within Global Market activities. First experience in change management, outsourcing project. Good knowledge of Microsoft Office applications (e.g. Powerpoint, Word), proficient Excel. Advanced technology skills is a plus (incl. VBA, Python, POWER BI) Specific Qualifications (if required) Academic knowledge: - Master Degree in Finance, Economics, Engineering, Computer Science but open to other courses with business and finance knowledge if relevant working experience. Soft Skills: Ability to develop stakeholder relationships and work in a complex and rapidly/constantly changing environment. Ability to analyze complex issues & solution provider. Ability to work under pressure, to prioritize, summarize. Work in a rigorous manner with high attention to detail. Ability to communicate clearly in both oral and written form (English) Ability to think out of the box. Ability to manage a team to deliver under challenging timelines. Skills Referential Behavioural Skills : (Please select up to 4 skills) Ability to deliver / Results driven Attention to detail / rigor Communication skills - oral & written Ability to collaborate / Teamwork Transversal Skills: (Please select up to 5 skills) Ability to manage / facilitate a meeting, seminar, committee, training Ability to inspire others & generate people's commitment Ability to develop and adapt a process Choose an item. Choose an item. Education Level: Master Degree or equivalent

Job Opportunity: Assurance AVP (UK Captive Bank) Location: Pune Package: up to 28 LPA Key Responsibilities Develop and refresh the Compliance Assurance Annual Plan , focusing on high-risk areas. Deliver risk-based assurance reviews to test the effectiveness of compliance controls and processes. Identify risks, control weaknesses, and areas of non-compliance, and recommend improvements. Communicate assurance findings and insights effectively through reports and stakeholder discussions. Build strong relationships across the three lines of defence to drive governance and oversight. Enhance assurance coverage through data analytics and automated assurance techniques . Lead, coach, and guide teams (where applicable) to deliver consistently excellent results. What Were Looking For 8+ years experience in Assurance, Audit, or Risk Management. Strong knowledge of risk frameworks, assurance methodologies, and testing techniques . Demonstrated investigative and analytical skills , with ability to identify trends, root causes, and control gaps. Proven report writing and communication skills , including handling sensitive/complex information. Experience in control testing, RCSA, issue management, governance, or risk-based reviews . Exposure to data-driven assurance / analytics tools (Power BI, Tableau, SQL, etc.) preferred. Bachelors degree required; Audit or Risk certification (CIA, CISA, etc.) desirable. To know more Call Kanika on 9953939776 or email resume to kanika@manningconsulting.in

About this role: Wells Fargo is seeking a Business Execution Consultant. We believe in the power of working together because great ideas can come from anyone. Through collaboration, any employee can have an impact and make a difference for the entire company. Explore opportunities with us for a career in a supportive environment where you can learn and grow. In this role, you will: Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and objectives Identify opportunities for process improvement by conducting root cause testing of all compliance and business metrics Determine areas of strength or Business Execution opportunity within defined scope of work Review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations Utilize independent judgment to guide moderate risk deliverables Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business Exercise independent judgment and provide guidance in diverse support functions and operations for a single business group within a line of business Collaborate and consult with leaders and executive management Provide work direction toless experiencedStrategy and Execution staff Required Qualifications: 2+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Strong experience in Risk management or in Audit or in RCSA Experience in one or more risk disciplines like Information Security, Business Continuity, Data Privacy, operational risk, financial crime, or regulatory compliance is an advantage. Preferred experience in understanding Risk Management. Proficiency in Microsoft (Excel, PowerPoint, Word). Excellent communication skills in English, both oral and written, with the ability to articulate issues to management. Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and objectives. Identify opportunities for process improvement by conducting root cause testing of all compliance and business metrics. Determine areas of strength or Business Execution opportunity within defined scope of work Review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations. Utilize independent judgment to guide moderate risk deliverables. Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business. Exercise independent judgment and provide guidance in diverse support functions and operations for a single business group within a line of business. Collaborate and consult with leaders and executive management. Provide work direction to less experienced Strategy and Execution staff. Job Expectations: Understanding and analyze the need for a Third Party and the Risks that it could come with during the process of engagement. In-depth knowledge of Third-Party Due Diligence process of Identifying, assessing, and mitigating third party risks during and after entering contracts during onboarding, ongoing monitoring, and termination processes In depth understanding on different type of Services and engagements with the Third-Party Service provider Gathering information from business on the service, evaluating them, finalizing compliance and risk evaluations, and updating them in the tool as a part of Due diligence activities Follow up with the Risk Partners and provide adequate responses incase of any questions queries about the provided responses Collaborate with Lines of Business and other required stakeholders. Serving as a Subject Matter Expert (SME) to identify and address key third party related risks and areas of concerns associated with new and existing third-party relationships. Ability to translate the Risk Entities to the Line of business and address the requirements and concerns. Determine areas of strength or Business Execution opportunity within defined scope of work Review and research strategies and action plans 7to establish effective processes while meeting performance metrics and policy expectations. Present recommendations to develop, implement and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business. Ability to challenge Lines of Business if needed during the process of Risk evaluation and also provide interim/ adequate communication wherever needed. Develop expertise in the Enterprise Third Party Risk Management policies. Execute Third Party Risk management, play the role of an Engagement Manager and Relationship Manager. Manage Engagements and Relationships independently and liaise closely with Business Operations, Supply chain, Info Security, Compliance, Resiliency, Technology teams. Complete planning activities, including evaluating the business need for the use of a third-party service provider, obtaining the necessary business approvals and engaging Supply Chain Management for contracts. Partner with Line of Business and must follow the lifecycle process of Third Party risk management to ensure third parties is appropriately risk rated. Ensure all required due diligence activities are completed with respect to the third-party service provider and associated risk are identified, assessed, mitigated, monitored, and managed. Monitoring the third-party service provider performance and ensuring it conforms with contractual requirements and service level agreements and meets business expectations. Thoroughly understand the third-party service provider engagement/relationship, including all products and services, contract and other risks inherent and related risks for each engagement and perform periodic oversight Communicate, coordinate, collaborate and build partnerships effectively with Stakeholders across different business divisions. The position requires the ability to lead, manage, and follow up on action items for all meetings, ensuring those assigned as owner to complete their milestones on time a timely manner. Conduct regular business review meetings as required per the Third-Party Service Provider Procedures. Act as an SME for the process Lead the conversations with stakeholders. Mentor and guide new team members. Identify and deliver IDEA Projects.

How will you make an impact in this role The Fraud, Credit Bust Out (CBO), Banking Product Payments Risk Organization is a global team of risk officers, data scientists, and product managers that are building innovative solutions and capabilities to manage external fraud and payment risk across AMEX s card and banking portfolios. We are looking for an Analyst to join the Fraud, Credit Bust Out (CBO), Banking Product Payments Business Operations team , which will oversee how the Global fraud team meets expectations outlined in the enterprise-wide policies and governance requirements for operational and fraud risk management across both the global card and banking product portfolios. The team will be responsible for executing new programs that govern, monitor and improve the CBO and payments group s extensive strategy execution controls, providing thematic analysis on operational issues associated with fraud processes, and creating and maintaining CBO and payments RCSAs. Key Responsibilities Support the RCSA program through administrative tasks related to process mapping, risk and control identification, assessment, and annual review Support monitoring of portfolio performance by calculating prescribed metrics and participating and documenting in root cause analysis and remediation plans Support through administrative tasks the timely updates of documentation and operational controls as new customer features fraud capabilities are introduced Support the execution of BU s risk assessment through analysis and data collation Conduct controls testing in accordance with Internal Controls Policy Lead victim fraud events analysis with operational risk lens and partner with functional experts to identify and remediate gaps Support multiple compliance and regulatory programs, such as AML/BSA SARs referrals, elder fraud abuse detection, scams detection, etc. Provide administrative support to evidence collection and explanatory responses to exams, audits, and any ad hoc governance requests Provide administrative support to Track and identify issues and fraud events as outlined by the Issues and Events Policy Required Qualifications Strong project management, communication, and interpersonal skills Experience in process governance, with an understanding of processes that align with policies, regulatory frameworks, and/or operational standards Proficient analytical and problem-solving skills, with an ability to analyze data, identify trends, and evaluate Victim fraud risk scenarios effectively Ability to navigate through ambiguous problems and be creative High degree of organization, individual initiative and personal accountability Positive roll-up your sleeves attitude, a proactive mentality, and a passion to win required Preferred Qualifications Bachelors Degree in Finance, Business, Risk Mgmt., or related field; advanced degrees (e.g., MBA, MSc) or certifications are advantageous Understanding of critical operational risk management lifecycle activities GSIB Operational Risk or RCSA program experience Experience managing operational risk events Prior fraud experience GUARDIAN

Responsibilities Direct Responsibilities 1) Create OPC Dashboard providing details of the high risk items for the Business Lines and presenting it to senior management. 2) Perform IT specific level 2 controls and prepare the Control Execution Results. 3) Appraise the IT HODs on the specific controls to be deployed in the respective Areas. 4) Prepare & present artifacts addressing high IT risk areas which require management attention. 5) Prepare minutes of the meeting of the presentation done and circulate it among the relevant stakeholders. 6) Ensure RCSA key IT actionables are tracked and present the progress update to senior management. 7) Ensure that all P1 and P2 related incidents are reported on 360 tool within the agreed timelines 8) Validated and check the short term & long term actions provided by IT on the incidents. 9) Follow up with the stakeholders and Track the long term action plans of the incidents. 10) Check & validate the It incident monthy MIS and report the same to appropriate team. 11) Attend steering committee meetings to understand the progress and risk highlighted in the forums. 12) Coordinate with Global BNP IT OPC team to determine the IT specific controls deployed. Contributing Responsibilities Attend IT meeting and sterco to understand the new project and give inputs for risk mitigation Collaborate with global OPC team to understand how the controls are deployed. Understand the best practices adopted by peer organizations and give inputs for such implementations. Technical & Behavioural Competencies Should have over all 6 years of experience and in particular 4+ years of experience in the field of Information Security. Able to articulate thoughts clearly, plan initiatives, and execute with appropriate urgency Demonstrate a strong understanding of various compliance and regulatory areas ISO 27 K implementation / auditing experience. Develop strategic plan and roadmap to mature the implementation of GCP / RCSA Ability to comprehend the nature and complexity of the control and/or artefacts shared for demonstrating adherence and compliance to the control point. Specific Qualifications (if required) Skills Referential Behavioural Skills : (Please select up to 4 skills) Adaptability Ability to collaborate / Teamwork Critical thinking Creativity & Innovation / Problem solving Transversal Skills: (Please select up to 5 skills) Analytical Ability Ability to manage a project Ability to develop and adapt a process Ability to manage / facilitate a meeting, seminar, committee, training Ability to inspire others & generate people's commitment Education Level: Bachelor Degree or equivalent Experience Level At least 5 years