534 Risk Compliance Jobs - Page 22

Role & responsibilities: Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes: Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes. Reviewing Post-Trade Exceptions: Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards. This involves thorough analysis and documentation to ensure compliance with regulatory requirements. Reviewing Employee Transactions: Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review. Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies. Reviewing Terminated Employee Accounts: Examine terminated employee accounts and ensure timely initiation of feed disconnection requests. This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly. Resolving Personal Trading Data Issues: Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors. This requires attention to detail and effective problem-solving skills to ensure data integrity. Supporting the Employee Compliance Policy and Advisory Team: Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email. This involves prioritizing and categorizing queries to ensure efficient handling and resolution. Reviewing Mailboxes for Employee Responses: Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items. This ensures that all actions are documented and tracked effectively. Routine Follow-Up: Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting. This includes maintaining communication with employees to verify transaction details and ensure compliance. This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes Preferred candidate profile: Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous. Strong attention to detail, analytical skills, and problem-solving capabilities. Ability to multi-task and prioritize across multiple projects and assignments; must be able to deliver and meet timelines in a fast-paced global project environment. Strong communication skills. Benefits : Fixed pay / Cab provided / Hybrid Contact : Kishore Kumar HR / kishore.kumar@russelltobin.com / 9384052856

Preferred candidate profile Should have experience into Ethic & Compliance, Independence Ethics, Audit Compliance( Not in Aml/KYC)********** Key skill requirements 1. 4 years of work experience 2. Ability to manage client and stakeholder requirements 3. Excellent communication skills 4. Robust analytical skills to assess parameters of compliance in client engagements. 5. Experience using external online search engines, company registries and using research and screening tools such as Orbis 6. Function as a member of extended member firm team 7. Excellent time management and ability to work under pressure with attention to detail 8. Adaptable, flexible and receptive to change 9. Self-motivated and able to work without supervision 10. Experience of using data sources such as Companies House, Dun & Bradstreet, BvD etc 11. Able to apply knowledge of MS Office applications including Excel and Teams

Client Questionnaires & Audit Manager, Information Security & Risk Management Role Description: The Client Questionnaires & Audit Manager, Information Security position will be an integral member of the Information Security and Risk Management team. This role will be responsible for organizing and managing internal and external audits. Work in Chief Information Security Officer (CISO) office under Director, Information Security Governance, Risk and Compliance. Successful candidate will have a good mix of security knowledge, understanding of industry best practice, and a demonstrated background in information security risk management. The candidate will be responsible for managing and responding to client security questionnaires, audits, and assessments related to the organizations information security posture. This role involves working closely with internal teams, clients, and external auditors to ensure the companys security practices align with industry standards and client requirements. The manager will also coordinate audit activities to ensure compliance with security frameworks and regulations. The ideal candidate: is a self-starter, with the ability to drive tasks to completion independently and learn new skills on the job as program requirements evolve. possesses strong business judgment, deep analytical thinking, is comfortable managing multiple responsibilities within a fast-paced environment, and has worked collaboratively with others to develop, implement, and communicate business improvement and innovative strategies. possesses strong verbal and written communication skills, a solution-oriented approach, and relationship-building skills are important attributes to succeed in this role. Successful candidate will develop strong relationships, collaborate across teams, coordinate multiple timelines, and manage complex, cross discipline projects. global view of their business and think in terms of immediate problem solving but also automating, expanding, and scaling solutions broadly. Responsibilities: Client Security Questionnaires: Establish a repository of standardized security questionnaire responses and ensure they are updated with the implemented security controls, certifications, and policies. Manage responses to client security questionnaires in a timely and accurate manner. Collaborate with internal teams (e.g., IT, legal, Information Security) to gather necessary documentation and information for client inquiries. Serve as the main point of contact for clients regarding security-related inquiries and responses. Client MSA Security Terms and Conditions Review: Create security terms and conditions for inclusion in contracts. Review security terms and conditions and provide feedback to legal team. Audit Coordination: Lead and coordinate client and internal audits to assess the organization's compliance with security policies, procedures, and regulatory requirements (e.g., ISO 27001, HIPAA). Serve as the liaison between the organization and external auditors or clients performing audits. Prepare and provide evidence for security audits, ensuring all documentation is complete and accurate. Collaborate with internal teams to design and implement mitigation strategies for identified risks. Collaborate with control owners to create corrective action plans to ensure appropriate remediation efforts are implemented and completed in a timely manner. Cyber Insurance Response: Respond to cyber insurance questionnaires based on implemented security controls, certifications, and policies. Process Improvement: Identify opportunities to improve the efficiency and effectiveness of client questionnaire responses and audit processes. Develop and implement templates, and workflows to streamline the completion of client questionnaires. Continuously improve the organization's internal audit and compliance processes to meet client expectations. Stakeholder Engagement: Engage with clients and third-party auditors in discussions around the organization's security posture. Communicate effectively with internal stakeholders, including IT, legal, compliance, and senior leadership, to ensure timely responses to audits and questionnaires. Provide recommendations to management regarding areas of improvement in security practices and compliance. Experience: 10+ years of experience in information security, with a focus on audit management. Experience with responding to security questionnaires and managing client audits. Experience in managing third-party audits and internal audit processes. Familiarity with compliance frameworks such as NIST, ISO 27001, HIPAA, and others. Demonstrated advanced verbal and written communication skills Excellent project management and organizational skills, with the ability to handle multiple audits and client requests simultaneously. Excellent organization skills and be a self-motivated learner Qualifications: Bachelors degree in Information Security, Cybersecurity, Communications, Education, Computer Science, Engineering or related field or equivalent work experience CISA, CRISC, CISM, or CISSP certifications (one or more) preferred Why Join Us Remote work flexibility and a collaborative team environment. Work on meaningful Transformation projects with global clients. Continuous learning and growth opportunities. Supportive culture where your voice matters and your work makes an impact.

Role Description: The Audit Manager, Information Security position will be an integral member of the Information Security and Risk Management team. This role will be responsible for organizing and managing internal and external audits. Work in Chief Information Security Officer (CISO) office under Director, Information Security Governance, Risk and Compliance, this role serves as an information security technology professional for the Client to support the design, implementation, and maintenance of a cohesive information security governance, risk and compliance program. The successful candidate will have a good mix of deep technical knowledge, understanding of industry best practice, frameworks and regulations, and a demonstrated background in information security risk management program. An experienced and motivated risk and compliance individual contributor is needed to work across a matrixed team in place today and growing in the future. The successful candidate has a track record of developing strong relationships, collaborating across teams, coordinating multiple timelines, and managing complex, cross discipline projects. The ideal candidate: is a self-starter, with the ability to drive tasks to completion independently and learn new skills on the job as program requirements evolve. possesses strong business judgment, deep analytical thinking, is comfortable managing multiple responsibilities within a fast-paced environment, and has worked collaboratively with others to develop, implement, and communicate business improvement and innovative strategies. possesses strong verbal and written communication skills, a solution-oriented approach, and relationship-building skills are important attributes to succeed in this role. Successful candidate will develop strong relationships, collaborate across teams, coordinate multiple timelines, and manage complex, cross discipline projects. global view of their business and think in terms of immediate problem solving but also automating, expanding, and scaling solutions broadly. thinks strategically at a global level and effectively develop key processes, procedures and communications that facilitate cross-functional implementation of compliance management processes and compliance reporting. Responsibilities: Develop audit program and plans for information security audits such as ISO and SOC 2, determine scope of audit coverage, and organize and manage internal and external audit engagements. Manage audit engagements and evidence collection for audits using GRC Tool OneTrust Oversee the process of audits, making recommendations on policies, and ensuring that the organization fulfills compliance obligations. Provide process design advice to Control Owners and Control Operators to build programs based on principles: compliance-by-design and security-by-design Coordinates and/or performs audit work, reviews audit reports prior to formal release, reviews management responses and reviews supporting workpapers to ensure reports are properly supported. Identifies factors causing deficient conditions and provides constructive, economical, and practical recommendations for audit findings. Drafts recommendations for management responses and corrective action plans. Support iterative review of assessment results, working with appropriate stakeholders across the lines of defense. Follows-up to determine adequacy and implementation of corrective actions. Validate evidence for sufficiency per control requirements. Identify and manage implementation of new compliance requirements/controls that are introduced by changes to regulations/standards/frameworks (new compliance requirements introduced per changes to ISO 27001, SOC 2, NIST 800-53, NIST CSF) Design automated and manual control testing methods. Conduct compliance assessments and internal control testing of critical business processes, critical information systems/assets (technology/application) and processes to evaluate design and operating effectiveness of controls, and proactively prepare stakeholders for external audits. Participate in policy reviews and provide meaningful feedback; facilitate policy operationalization Establishes and maintains effective working relationships with Control Owners and Control Operators. Create collateral to promote culture of compliance aligned to firms risk tolerance. Contribute to the development of scalable models and tools that speed up both decision making and accuracy for the organization. Assimilate risk and compliance assessment/audit data into concise and meaningful reports/dashboards for leadership. Experience: Experience with information security frameworks, industry standards (i.e., SOC 2, NIST 800-53; ISO 27001, ISO 27017, COSO, HITRUST) Experience with regulatory requirements (i.e., HIPAA etc.) Experience performing IT audits and control testing Experience using internal proprietary tool to manage assessment/audit process Experience gathering information from a range of different sources to help identify weaknesses in security controls Expert with security control design, development, implementation, and monitoring Demonstrated experience across multiple information security domains preferred Qualifications: Bachelor's degree in Computer Science, Engineering or related field or equivalent work experience CISA, CRISC, CISM, or CISSP certifications (one or more) preferred Demonstrated advanced verbal and written communication skills Excellent organization skills and be a self-motivated learner Why Join Us Remote work flexibility and a collaborative team environment. Work on meaningful Transformation projects with global clients. Continuous learning and growth opportunities. Supportive culture where your voice matters and your work makes an impact.

About the RoleWe are seeking a highly experienced professional to join our Central Business Team as a Sr. Manager - Business Risk and Compliance for our Merchant Business. This critical role will serve as the primary bridge between our regulatory/compliance team and business team, ensuring our offline payment aggregator business in the Indian market operates efficiently while adhering to all relevant regulations.Key Responsibilities1. Regulatory Interpretation and Business Translation Interpret regulatory notifications and guidelines, translating them into clear, actionable business strategies. Stay abreast of emerging regulatory guidelines and business operating environments to prepare internal guidelines that mitigate potential risk scenarios. 2. Risk Assessment and Mitigation Evaluate underlying business risks and prescribe remediation frameworks that balance risk management with growth opportunities. Develop and implement risk control strategies to minimize financial and legal impacts on our merchant acquiring operations. 3. Regulatory Relationship Management Leverage and enhance existing relationships with Regulatory Bodies. Build strong working relationships with regulatory entities where absent. 4. Policy Development and Implementation Design, review, and update acquiring risk policies, ensuring alignment with industry best practices and regulatory requirements. Collaborate with internal risk, operations, and compliance teams, as well as relevant third parties, to ensure comprehensive risk policy development. 5. Strategic Risk and Compliance Advisory Support the formulation and finalization of risk and compliance strategies, providing expert guidance and recommendations to senior management. Prepare detailed documentation, conduct gap analysis, and generate reports to support risk management efforts and policy compliance. 6. Team Leadership and Development Lead projects related to risk management and compliance initiatives. Train and mentor team members on risk management best practices, fostering a culture of compliance within the organization. Qualifications Minimum of 7+ years of relevant experience in writing, deploying, and managing acquiring risk policies, preferably in a regulated entity. Master's degree in Finance, Business Administration, or related field from a Tier-I institution; advanced degree preferred. Bachelors degree from a Tier-I institution with commensurate experience and certifications will be considered as well. Proven track record as a subject matter expert in the financial services industry, with in-depth knowledge of governing regulations, reporting procedures, and record-keeping guidelines. Strong understanding of payment industry regulations and compliance requirements, particularly in the Indian market. Exposure to business operations with a growth orientation to build 'Risk and Compliance' as a strong differentiation factor. Skills and Attributes Exceptional stakeholder management, project management, and collaboration skills. Critical thinking and problem-solving abilities, with a data-driven approach to decision-making. Excellent communication skills, both written and verbal, with the ability to translate complex regulatory language into clear business terms. Strong analytical skills with the ability to foresee potential risks and develop proactive mitigation strategies. Adaptability and resilience to thrive in a fast-paced, evolving regulatory environment. What We Offer Opportunity to play a crucial role in shaping the risk and compliance strategy of a leading offline payment aggregator in India. Collaborative work environment with exposure to cutting-edge fintech solutions. Competitive salary and benefits package commensurate with experience. Professional development opportunities and potential for career growth

Ensure compliance with SEBI,Monitor compliance with circulars,Manage SEBI filings, annual audits,Implement and monitor compliance checks,Assist in drafting and maintaining Compliance Manuals

Role & responsibilities As Identity Audit and Control Analyst, you will be responsible for facilitating control gap identification, risk remediation, and proactive control monitoring. Responsibilities include, but are not limited to, the following: Deliver and present control evidence to internal and external auditors. Contribute to the planning and exertion of Audit findings remediation. Control evidence quality analysis. Preferred candidate profile Experience as an Internal Auditor is preferred Proficiency in scripting and programming languages (e.g., Python, Java, PowerShell, SQL, etc.) is preferred Hands-on experience with Identity Governance tools such as Saviynt, Aveksa, or Active Directory preferred Experience in data analytics and/or data mining

Conduct thorough analysis of transactional data, patterns, and trends to identify potential fraudulent activities, like first-party fraud risk. - Develop and maintain fraud detection systems and tools to proactively mitigate risks. - Investigate suspicious activities and transactions, determining root causes and developing strategies and statistical models to prevent future occurrences. - Implement and manage fraud detection technologies and tools, ensuring optimal functionality and efficiency. - Generate reports and presentations outlining fraud risks, incidents, and mitigation strategies for management review. - Collaborate with cross-functional teams, including risk management, operations, and compliance, to enhance fraud prevention measures. - Monitor industry trends, regulatory changes, and best practices to continually enhance fraud prevention strategies. - Utilize data analytics tools and methodologies to conduct in-depth assessments and generate reports on first-party fraud trends and potential vulnerabilities. - Stay updated on industry trends, emerging threats, and best practices related to first-party fraud prevention. - Work closely with law enforcement and regulatory agencies, when necessary, to address instances of first-party fraud. Skills Sales Highest Education Bachelor of Commerce Working Language English, Tamil

Skill required: Risk & Compliance - Operational Audit & Compliance Designation: Risk and Compliance Analyst Qualifications: Chartered Accountant/Master of Business Administration/CA Inter Years of Experience: 3 to 5 years Language - Ability: English(Domestic) - Proficient What would you do? You will be aligned with our Risk and Compliance vertical and help us perform compliance reviews, publish reports with actions and provide closure guidance as needed. We design & recommend effective controls to mitigate risks and help service delivery team prepare for upcoming client / external audits.You will be working as a part of the Risk & compliance team which is responsible for helping clients and organizations identify risks and create mitigation plans.Audit and manage effective implementation and delivery of functional processes within operations to mitigate risk. e.g. Policies; Anticorruption, BCM, InfoSec, P104, Records Management and Contractor controls. Establish processes to audit/validate current control effectiveness and drive improvements wherever required. What are we looking for? Ability to manage multiple stakeholders Ability to perform under pressure Commitment to quality Risk management Problem-solving skillsOTC, PTP and RTR.Report writing.Good communication skills. Roles and Responsibilities: In this role you are required to do analysis and solving of lower-complexity problems Your day to day interaction is with peers within Accenture before updating supervisors In this role you may have limited exposure with clients and/or Accenture management You will be given moderate level instruction on daily work tasks and detailed instructions on new assignments The decisions you make impact your own work and may impact the work of others You will be an individual contributor as a part of a team, with a focused scope of work Please note that this role may require you to work in rotational shifts Qualification Chartered Accountant,Master of Business Administration,CA Inter