AddressThe Internal Control Unit is responsible for ensuring that the clearing, funds and admin unit of the group operates in compliance with all applicable laws, regulations, and internal policies. The successful candidate will be responsible for developing and implementing Internal Controls, monitoring compliance with policies and procedures, and identifying and mitigating risks.
The Internal Control Unit is responsible for ensuring that the clearing, funds and admin unit of the group operates in compliance with all applicable laws, regulations, and internal policies. The successful candidate will be responsible for developing and implementing Internal Controls, monitoring compliance with policies and procedures, and identifying and mitigating risks.
Key Responsibilities:
- Develop and implement Internal Controls to ensure compliance with all applicable laws, regulations, and internal policies.
- Monitor compliance with policies and procedures and identify areas of risk.
- Identify and mitigate risks to the clearing, funds and admin unit of the group.
- Develop and maintain a risk management framework.
- Ensuring SOC 1 and SOC 2 audits are regularly conducted
- Provide guidance and training to staff on Internal Controls and risk management.
- Conduct regular internal audits within the group to ensure compliance with policies and procedures.
- Prepare reports on Internal Control and risk management activities for senior management.
Qualifications:
- A recognized diploma/advance diploma/degree with experience in Banking/Custodian/Clearing.
- At least 5 years of experience in Internal Control, risk management, or audit.
- Sound knowledge of capital market regulations and internal policies.
- Excellent analytical and problem-solving skills.
- Strong communication and interpersonal skills.
- Ability to work independently and as part of a team
Our client is a leading name in Financial Service industry, HO is located in Mumbai.
