Plan, perform, supervise, and coordinate the completion of assigned audits of a moderately complex nature in accordance with approved audit programs and departmental and professional standards in established timeframes.
Assist in establishing risk-based audit work programs to effectively evaluate operations, based on best practices, regulatory requirements, and the operating environment (mainly focusing on AML activities, but also regulatory and integrated operational audits).
Observe and examine transactions, documents, records, reports, and procedures; prepare audit work papers recording and summarizing data pertinent to assigned audits.
Identify and recommend opportunities to increase efficiency and effectiveness of operations while maintaining adequate controls to safeguard company assets.
Perform follow up procedures to ensure agreed upon action plans have been implemented by management as directed.
Coordinate effectively with global audit team to complete global projects as assigned.
Demonstrate teamwork by responsively cooperating with other engagement team members
Work closely with internal audit management in promptly communicating issues and concerns as they relate to audit assignments and the general operation of the department.
Review the work of other team members and challenge their understanding of audit areas and processes to ensure adequate coverage.
Communicate appropriately to process owners and management during and at the end of fieldwork with regard to audit findings.
Prepare formal written reports covering the results of audits and present audit findings and recommendations to executive management.
Maintain excellent management client relations while communicating issues, concerns, and recommendations.
Maintain current knowledge of regulatory requirements and professional standards.
Assist with training of staff members in internal audit techniques, organizational issues, and departmental procedures and protocols.
Participate in departmental initiatives and projects under the direction of the Vice President and/or Executive Director to develop a world-class internal audit function.
Assist with the management and direction of assigned staff to ensure completion of regulatory compliance and operational audits within departmental and professional standards in established timeframes.
Assist with staff scheduling of assignments based on skill levels needed for specific audits/projects.
Establish and maintain (or assist with) a quality assurance program and develop and maintain working department audit manual.
Perform other related duties as assigned.
Possess a Bachelor's Degree in Accounting, Business, Finance or equivalent.
Minimum 5 years of progressive experience in Audit and/or AML.
Prior experience at a "Big Four" public accounting firm and/or financial institutions industry is highly desirable.
CAMS qualification is preferred, CPA or CIA highly preferred.
Possess a proven record of strong leadership skills and be able to demonstrate the ability to coach and develop the direct reports.
Possess excellent verbal and written communication in English.
Maintain the highest ethical standards, level of commitment and ability to cope with complexity and change.
Proficient in Microsoft Word and Excel;
Teammate experience a plus.
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Job Description :
To ensure customer service and support all operations. To create customer delight at every interaction.
Interacting with external customers and internal customers and addressing their queries, requests and complaints.
Committed TATs are met consistently
Complaints Management- addressing customer complaints at the branch, system updation, coordination with Sales/HUB/ other functions for resolution.
Refunds processing and dispatch
Undelivered policy documents tracking and management.
Maintenance of all files and registers.
New Business Processing:-
Handling end to end New business processing starting from creation of Client id,Case start up, New business login, Follow up for policy issuance, Quality Check
Follow up with HUB for policy issuance of pending cases