6 Regulatory Audit Jobs

The role will involve conducting internal audit activities to assess risks and controls within Ireland's wealth management business as well as potentially in the broader Asset Management business of the Cantor Fitzgerald group. The ideal candidate for this position should have a demonstrated track record of executing audits in compliance with IIA standards and possess a good understanding and hands-on experience with key regulations in Ireland. You will be responsible for performing audit work according to the standards of Internal Audit's risk-based methodology. This includes designing effective tests of key controls or processes to evaluate risks, validating the adequacy of design, and assessing the operating effectiveness of key controls. Additionally, you will be tasked with designing and executing substantive testing, including data analysis, documenting audit work, and drawing conclusions based on the results of audit tests. Identifying, assessing, and reporting on key risks and compliance issues or breaches will also be a crucial part of your role. In terms of communication, you will need to work closely with the audit team and internal management to address any issues or delays that may arise during the audit process. Moreover, you will need to establish and maintain relationships with key stakeholders within the Firm and collaborate with various departments such as Front Office, Middle Office, Compliance, Risk, and Support Functions to ensure a clear understanding of the audit scope and necessary action points to address findings. To excel in this role, you should have at least 5 years of experience in asset management or financial services, with a preference for experience in wealth management. Familiarity with relevant regulatory frameworks and requirements in Ireland, such as MiFID II/ MiFIR, Investment Firms Regulation, Consumer Protection Code, and Client Asset Requirement, is essential. Strong analytical and project management skills, effective communication (both verbal and written), and the ability to build strong working relationships with peers and stakeholders are also key skills required for this position. A bachelor's degree in accounting, finance, or a related business field is preferred for this role. Additionally, certifications such as CIA, CPA, ACA, CA, ACCA, CFA, or similar are advantageous. Proficiency in MS Office applications like Word, Excel, PowerPoint, and Outlook is also necessary for success in this role.,

As a team member at Mr. Cooper Group, you have the opportunity to play a significant role in keeping the dream of homeownership alive. Working together with a shared purpose, we strive to make a difference by challenging the status quo and providing exceptional care and service to our teammates and customers. Join us in realizing the dream of home ownership for many individuals. Your responsibilities will include planning and conducting independent internal audits and reviews to support the company's annual internal audit plan. This involves leading and participating in various financial, operational, regulatory, and special reviews. You will develop audit test programs, perform audit tests to assess internal controls, and utilize data analysis software for statistical analyses. Additionally, conducting research to understand and summarize relevant laws and regulations will be part of your role to ensure compliance. Preparing audit findings and recommendations will require clear communication of risks and key audit issues to senior management and the Audit Committee. You will also meet with clients and auditees to communicate audit results and recommendations, providing periodic updates to management and the Internal Audit leadership team. Building effective business relationships and partnerships with audited areas is essential to ensure a mutual understanding of audit scope, procedures, and reporting progress. You will also provide guidance to external auditors to facilitate the completion of their audits. Developing necessary skills for career advancement within the company or the Internal Audit team is encouraged. In terms of functional job competencies, strong interpersonal and networking skills are crucial, along with the ability to plan and execute projects, prioritize tasks, and manage assigned staff effectively. You should be able to work independently or collaboratively in a team environment, identify risks, evaluate control procedures, and communicate findings clearly. Ideal candidates should possess a Bachelor's degree in accounting, finance, or a related field. Prior audit experience, including internships, is advantageous. Certifications such as CIA or CPA, or active pursuit of such credentials, are beneficial. Knowledge of accounting and auditing principles, practices, and techniques, along with familiarity with IIA Standards, is required. Mortgage industry experience is considered a plus. If you are ready to contribute to the mission of Mr. Cooper Group and help make homeownership dreams a reality, apply for this challenging opportunity based in Bengaluru, Karnataka, India.,

As Deputy Manager - Stores at Dishman Carbogen Amcis Limited located in Bavla, Gujarat, IN, you will be responsible for overseeing various key activities. Your role will involve managing Quality Management System (QMS) activities, ensuring compliance with Current Good Manufacturing Practices (CGMP), handling regulatory and customer audits, and overseeing the formulation warehouse operations independently. Additionally, you will be tasked with managing all activities of the Raw Material (RM) warehouse, including receipt, storage, and dispensing, as well as overseeing finished goods and dispatches for both domestic and export purposes. The ideal candidate for this role should possess strong managerial skills, a solid understanding of compliance requirements, and experience in warehouse management. You should be capable of handling legal aspects related to warehouse operations and have a background in manufacturing. This position offers the opportunity to take on a challenging role in a dynamic environment where you will play a crucial part in ensuring operational efficiency and regulatory compliance.,

Key Responsibilities Fund Accounting : Monitoring of Fund daily prices within agreed SLAs and daily movement tolerances. Regularly review the external FAs price source agreement is within the firms risk appetite and covers all the funds investments. Compensatory pricing breaches Will include but not limited too, reviewing impact calculations, liaising with depositary for approval, liaising with the transfer agent and or fund accountant as necessary for compensation corrections to be raised. Monitor units in issue and ensure they are accurate. Weekly monitoring of all FAs cash and stock breaks, including dividend receivables. Oversee the withholding tax reclaims filing in countries where double tax treaty agreements are in place. Ensure that our funds receive the most beneficial tax rate on dividend income. Review and arrange signing of various legal documentation related to withholding tax. Completion of consolidated annual and quarterly ONS returns for all Funds and file with the UKs Office for National Statistics. Financial Reporting : Review the Financial Statements prepared by the Fund Accountants, ensuring compliance with appropriate accounting standards, relevant IA SORP and other regulations (COLL, FUND). Ensure the key deliverables are checked for regulatory compliance, completeness and accuracy including Distributions rate, ongoing charges (OCF), Financial Statements Fund prices and performance fees. Review expenses to ensure that they do not exceed allocated budget and instruct any required adjustments. Monitor deliverables compared to agreed reporting timetable work planners and being active to achieve those deadlines and within regulatory timescales; Monitor key performance indicator data. Taking appropriate action to remediate where service levels are not at the expected level. Awareness of industry and regulatory initiatives or developments and impact on Department and Funds. For both : Actively monitor the services received and attend monthly meetings for the fund accountants, auditors, and other third parties to ensure these are in line with SLAs and KPIs. Maintain regular liaison with the investment managers, Fund Accountants, Transfer Agencies, Auditors and Client Relationship Mangers on a daily basis. Attend Client & FA meetings as well as oversee FA and conduct annual due diligence. Review and report on FAs SOC1 reports reviewing exceptions and risks raised for potential impact to the FP funds. Ensure any breaches are logged with the depositary and recorded into internal breach system including root cause trending analysis. Ensure supporting procedures are accurate and kept up to date. Participate in the Audits of our products, respond audit queries on behalf of the clients, address any issues or recommendations raised by external auditors and ensure they are all closed out in a timely manner. Ensure the Audit Feedback findings are tracked and acted upon to ensure any risk areas are mitigated. Assist in developing measures to restructure and align management company services to meet future client, regulatory and business needs. Develop, adapt and improve appropriate risk-based control regime for each assigned service provider by analysing internal and external data i.e. control and auditing reports. Keep up to date with new regulations. Support in interpretation of new regulations and how they will impact the fund and its investors. Act as a subject matter expert towards any relevant projects. Ongoing review and enhancement of the Fund Accounting Oversight framework to ensure the adherence of FundRocks and its delegates to the laws, rules and regulations governing marketing and distribution activities. Work in collaboration with other internal teams. Compile management information as required for internal committee and board reporting. Complete other ad-hoc tasks as directed. Competencies Attention to detail and accuracy for review of reporting. Managing the resolution of regulatory and audit issues. Directing and controlling third party service providers to achieve compliance with the regulatory requirements and mitigate client regulatory risk. Interpreting and communicating regulatory requirements within a business. Working with compliance to address regulatory and counterparty risk. Taking ownership of and resolving audit and regulatory issues and actions. Continuously build on existing processes to improve quality and efficiency. Demonstrate good communication skills, both written and oral and be able to converse with personnel at all levels. Meticulous attention to detail. Experience CA or CMA qualified Freshers with good understanding on Accounting and Financial Management. Previous experience working within the UK facing Financial Services industry within an operational finance team or service provider for at least 2 years. Financial reporting experience or accounting qualification for UK regulations including UK GAAP and SORP, FUND. Understanding all types of derivatives and accounting treatments. Understanding of asset types the fund may hold such as REITS, Bonds, Private Equity investments and their accounting treatments. Reviewing and overseeing firms operational process, systems and controls. Responsibility for resolving regulatory and audit issues

Urgent : Assistant Manager / Manager {Regulatory & Food Safety} @ Shirwal , Near Pune / Satara Our client is leading Ice Cream Manufacturer of India , UAE & UK They are a professionally managed global conglomerate with traditional values of the 70-year-old family business. They directly employ over 2000 people across several regions of operations & includes the ownership & management of the boutique hotel in Mumbai, Banquets & Catering services, Indias largest ice-cream store chain , extremely delicious lower-calorie ice cream brand , the leading ice cream & food brand of the Middle East offering traditional Indian packaged foods such as paneer, frozen vegetables, rice & more a chain of modern Indian family dining restaurants in India & other sub-brands. They are urgently looking for Assistant Manager / Manager {Regulatory & Food Safety} Department: Regulatory & Food Safety Location: Shirwal , Near Pune / Satara Reported By : Sr. Executive / Executive Regulatory & Food Safety Job Objectives: To ensure full compliance with applicable food safety & regulatory requirements (FSSAI, FDA , etc.) for all ice cream & ice cream cake products manufactured at the facility. The role is responsible for driving quality assurance, food safety initiatives & regulatory compliance while supporting new product development & leading cross-functional improvement initiatives. Qualifications & Skills: Bachelor’s degree in food science/food technology or related discipline (Master’s preferred) Minimum 7-10 years of experience in food safety & regulatory roles in the ice cream or dairy industry Certifications in HACCP, FSSC 22000, BRC, or similar standards preferred Strong knowledge of FSSAI regulations , food labelling laws, & international standards Excellent leadership, analytical, & interpersonal skills Proficient in regulatory documentation, SAP systems & quality reporting tools. Primary Responsibilities: Strategic & Planning Monitor & interpret changes in local, national & international food safety regulations. Develop & implement regulatory compliance strategies aligned with business goals. Lead regulatory audit preparedness & strategic initiatives for continuous compliance. Core Functional Ensure product compliance with applicable laws & customer requirements. Manage documentation & approval of product labels, artworks & declarations. Lead the implementation & review of HACCP plans & food safety systems (e.g., FSSC 22000). Oversee supplier quality management, audits & ongoing performance evaluation. Coordinate sensory evaluations, shelf-life validation, & microbiological testing protocols . Internal Processes Maintain robust document control systems to ensure traceability & audit-readiness. Handle regulatory inspections & ensure timely closure of non-conformances. Develop SOPs, work instructions, & process flows to standardize operations. Manage & investigate food safety incidents, implementing effective CAPA processes. People Development Conduct regular food safety & GMP training sessions for shop floor & QA teams. Provide mentorship & technical guidance to team members. Promote a culture of quality, accountability, & continuous improvement across departments. Key Result Areas Internal Interfaces Production Quality Assurance Research & Development Procurement Supply Chain Marketing Training External Interfaces Regulatory Authorities (FSSAI, FDA, LM, FDA, HALAL etc.) External Auditors & Certification Bodies Raw Material & Packaging Suppliers Private Label Partners External Laboratories Key Interfaces Regulatory documentation & licenses Product specification & compliance verification HACCP & GMP records & validation files Food safety risk assessment & mitigation plans as per GFSI standards. Customer complaint investigations & reports Audit reports & improvement action trackers You are requested to Email updated resume with following details Current Location Please confirm you are ready to work in Shirwal , Near Pune / Satara Relevant experience in food safety & regulatory roles in F&B Industry (In years) Relevant experience in food safety & regulatory roles in the ice cream or dairy industry(In years) Can you ensure full compliance with applicable food safety & regulatory requirements (FSSAI, FDA , etc.) for all ice cream & ice cream cake products manufactured at the facility? Do you have certifications in HACCP, FSSC 22000, BRC, or similar standards? Do you have strong knowledge of FSSAI regulations , food labelling laws & international standards? Can you lead the implementation & review of HACCP plans & food safety systems (e.g., FSSC 22000) ? Can you oversee supplier quality management, audits & ongoing performance evaluation & coordinate sensory evaluations, shelf-life validation, & microbiological testing protocols ? Can you interact with Regulatory Authorities (FSSAI, FDA, LM, FDA, HALAL etc.) & External Auditors & Certification Bodies? Can you comply with Product specification & compliance verification , HACCP & GMP records & validation files , Food safety risk assessment & mitigation plans as per GFSI standards. Languages known Please self-rate : your English Communication skills on a scale of 1 to 10 (10 being highest) Team Size Managed ( Direct & Indirect) Current Salary (Fixed + Variable) Expected Salary Minimum period required for Joining Contact Details, Residence & Mobile No What’s App No./ Skype ID In case you are not interested, we would appreciate, if you can refer us, suitable matching profiles from your rich contacts [[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[ Best Regards Pradeep Kumar / Mumbai Email: pradeep@intellectualcapital.co.in Cell: 8828181917 [[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[

Role & responsibilities : Preparing financial statements in compliance with IND AS standards. Managing end-to-end financial accounting processes. Overseeing fixed asset management, including capitalization and depreciation. Coordinating statutory, internal, and regulatory audits. Conducting ledger analysis and reconciliation. Managing vendor and customer accounts, including payments and receivables. Leading and mentoring a finance team. Preparing periodic MIS reports and financial summaries for management.