Audit and Controls in AFMG, check 1a 1b in coordination with business and liasioning with respective line of defense to perform control execution.
Direct Responsibilities
- Design and implement control framework for Admin Functions as a whole.
- Responsible for designing Risk mapping files as per Group Control guidelines for all the work streams of Admin functions.
- Identify Level 1 and Level 2 controls to be performed and maintain inventory of the controls.
- Implement Control testing program to ensure Level 1 controls are being performed and execute Level 2 controls. Report deviations/results to Admin Process Leads and Management.
- Identify control gaps and propose solutions and ensure control gaps are adequately addressed.
- Conducted pre-internal audit reviews to ensure that all material audit issues are self-identified.
- Report incidents and errors and publish timely report to OPC to update in Group reporting tool.
- Liaise with OPC, Risk ORC for review and update of controls for Risk assessment and control testing.
- Review and Update of policies and procedure document for Admin process and sub processes and obtain sign-off as per guideline. Changes are incorporated at regular interval.
- Conduct risk and control assessment before change in process or technology initiative to ensure any open issues are fixed before change process or technology change implemented in production.
- Follow up on the action plans/remediation implementation of Inspection Generale (IG) for recommendations / findings.
- Liasoning with Statutory / External auditors (Janaswamy Associates) for recommendations / findings.
- Review of Operational Issues / risks and analyse with root cause analysis to ensure recurrence of such issues mitigated in future.
- Engage with Admin coordinators of respective location for review of processes and implement consistent practices (standardization of process) across the location.
- Tracking of Head count details and monthly reconcile with HR data.
- Conduct in house Risk Control awareness session for Admin staff (permanent and outsourced). Sessions are conducted at periodic intervals to ensure new joiners are covered for awareness session.
- Conduct monthly Ops and Controls agenda meeting with function leads for key business and controls update and prepare a tracker for Open action item for follow up and timely closure.
- Follow up with Admin staff to comply with Block leave policy requirement and timely completion of Mandatory Compliance and IT Security Training.
- Access Control Management Timely raise sail point request for addition and deletion of staff and perform periodic review of accesses to ensure access are granted on a need to know basis.
- Oversee Business continuity planning (BIA Assessment) and Call tree update.
- Driving and leading Management driven projects linked to strengthening controls and cost initiatives.
- Coordinate with business and provide inputs to OPC / PMO team for PCC meetings.
- Coordinate with Legal and Compliance and ensure timely submission of data as requested.
Contributing Responsibilities
- Contribute to the implementation of Permanent Control policies and procedures in day-to-day business activities
- Ensure all requests received are assigned within the team and drives the team to achieve the expectation set by onshore
- Active participation in regular review of operational procedural changes /requirements during processing functions / staff meetings
Technical Behavioral Competencies
1.1 Good communication skills is a pre-requisite
1.2 Accuracy and rigor
1.3 Team player
1.4 Fluent in English;
1.5 Adaptable flexible approach to the working environment
1.6 Ability to work on multiple IT systems
1.7 IT literate and familiar with Microsoft Office (Excel to macro level), PowerPoint
1.8 Flexibility to work in shifts
Specific Qualifications (if required)
- CA , CA Final appeared, or CA Intermediate cleared or any other Internal Audit Qualification
- Sound knowledge of Audit and Risk Control.
Knowledge of functional and process domain related to banking and financial services.
Skills Referential
Behavioural Skills :
- Ability to collaborate / Teamwork
- Personal Impact / Ability to influence
- Attention to detail / rigor
- Communication skills - oral written
Transversal Skills:
- Ability to manage a project
- Analytical Ability
- Ability to develop others improve their skills
- Ability to set up relevant performance indicators
- Ability to manage / facilitate a meeting, seminar, committee, training
Education Level:
- Bachelor Degree or equivalent
Other/Specific Qualifications (if required)
