About The Position
As a Lead/Assistant Manager – 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.
Requirements
- 5 to 7 years of total working experience
- 3–5 years in compliance testing / internal audit / risk management
- 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
- 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
Nice To Haves
- 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
Responsibilities
- 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
- Perform control walkthroughs and substantive sample testing to assess control design and operating effectiveness
- Apply data analytics techniques for sample selection and validation
- 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
- 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
- Collaboration with Business Units (1LoD), Compliance (2LoD), and SMEs
- Validate findings and ensure factual accuracy
- Present results and influence stakeholders for timely remediation
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
1-10 employees
