Lead - Compliance, Monitoring & Testing

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Job Description:

Overview:

As a Lead- Monitoring & Testing, you will execute compliance testing engagements to assess the design and operating effectiveness of key regulatory controls across business units for Asia. You will play a critical role in strengthening the Regulatory Compliance Management (RCM) framework by identifying control gaps, driving remediation, and providing data-driven insights to stakeholders

Your scope of work / key responsibilities:

1. Testing Execution & Planning

• Develop and execute risk-based compliance test plans using standardized methodologies
• Define scope, sampling approach, and testing procedures
• Ensure consistency, quality, and adherence to enterprise testing standards

2. Fieldwork & Control Assessment

• Perform control walkthroughs and substantive sample testing to assess control design and operating effectiveness
• Apply data analytics techniques for sample selection and validation

3. Documentation & Reporting

• Document test procedures, findings, and evidence in working papers
• Prepare clear and concise Compliance Test Reports
• Maintain audit-ready documentation in tools such as Archer/SharePoint

4. Issue Identification & Remediation

• Identify control gaps, root causes, associated risks and provide recommendations to address the noted findings
• Assess adequacy of remediation plans

• Track and validate closure of issues and ensure sustainability of fixes

5. Stakeholder Management

• Collaboration with Business Units (1LoD), Compliance (2LoD), and SMEs
• Validate findings and ensure factual accuracy
• Present results and influence stakeholders for timely remediation

6. Governance & Continuous Improvement

• Contribute to enhancement of testing methodologies and frameworks

• Support regulatory inspections and internal audits
• Assist in development of dashboards, MI reporting, and trend analysis
• Support quality reviews of testing workpapers

Key Qualifications and experience

5 to 7 years of total working experience across the below-mentioned skills:

• Total Experience: 5-7 years
• Min Experience: 3-5 years in compliance testing / internal audit / risk management
• Mandatory Skills:
  • Compliance testing / internal audit experience
  • Strong understanding of RCM framework and control effectiveness assessment
  • Experience in sampling techniques and testing methodologies
  • Strong documentation and report writing skills
  • Stakeholder management and communication skills
  • Ability to evaluate and work in complex control environments
• Recommended Skills:
• Experience in financial services / insurance sector
• Knowledge of Compliance Pillars such as AML/Privacy/conduct, Regulatory compliance, and risk frameworks as applicable to FI's/Insurance is preferred
• Recognized professional accounting and compliance designations (e.g. CPA/CA, CIA, CAMS, CIPM etc.is preferred)
• Prior experience in Corporate Function testing (such as IT, HR, Finance, Tax, Legal, etc.) is preferred.
• Exposure to tools such as Archer, SharePoint, Tableau etc.
• Experience in data Analytics to perform exception-based testing
• Must have experience in executing end-to-end compliance testing engagements
• Ability to translate legislation and regulations into business impacts, compliance elements and regulatory risks
• Must have knowledge of regulatory requirements and control frameworks
• Strong leadership and communication skills (verbal as well as written) for stakeholder engagement and influencing outcomes

Ability to operate in a deadline-focused environment

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