CA Fresher - Associate - Central Risk and Quality - Mumbai

Role & responsibilities

1. Risk & Quality Information Support

• Assist in collating risk, quality, and compliance data from service lines across the firm.
• Support the maintenance of central trackers, templates, and data repositories.
• Carry out basic completeness and accuracy checks on data before it is escalated.

2. Compliance Support & Documentation

• Assist in compiling firm-wide compliance submissions.
• Help maintain compliance calendars, evidence folders, and documentation logs.
• Track compliance confirmations and follow up on pending items under guidance.

3. Risk & Quality Analysis Support

• Support analysis of risk and quality data to help identify basic trends and gaps.
• Prepare draft summaries, tables, and charts for reporting, using MS Excel/PowerPoint.
• Assist with remediation tracking activities.

4. Policy & Process Administration Support

• Assist in maintaining policy repositories and version control.
• Support communication and circulation of approved policies.
• Help map policies to procedures and compliance requirements.

5. Regulatory, Professional & Network Review Support

• Support coordination of responses to regulatory and review requests.
• Assist in collating requested documentation and evidence.
• Help maintain action trackers for review findings.

6. Governance & Leadership Reporting Support

• Assist in preparing materials for the India Risk Committee and other governance forums.
• Support compilation of dashboards, presentations, and trackers.
• Help maintain records of actions and follow-ups.

7. Training & Risk Culture Support

• Support tracking of mandatory risk training.
• Assist in preparing training completion reports.
• Participate in and support risk & quality awareness initiatives.

8. Stakeholder Coordination

• Liaise with service line risk teams and enabling functions under supervision.
• Follow up on information requests and deadlines.
• Escalate delays or issues to the Assistant Manager in a timely manner.

9. General

• Provide day-to-day operational support to the Assistant Manager and team.
• Assist with ad-hoc risk and compliance initiatives.
• Proactively identify and suggest process improvement opportunities.