Regulatory Compliance Associate Manager

Skill required: Control Testing - Agile testing


Designation: Regulatory Compliance Associate Manager


Qualifications:Any Graduation


Years of Experience:10 to 14 years


What would you do Help clients transform their compliance function from reactive to proactive through an intelligent compliance operating model powered by data, intelligent technologies and talent
Control Testing involves evaluating the effectiveness of internal controls within an organization. This process checks whether controls are working as intended to prevent errors, fraud, and ensure compliance with regulations. The goal is to identify weaknesses and improve the reliability of financial reporting, operational ITGC processes to ensure audit readiness.
Conduct testing tasks within Agile models and integration processes and manage development sprints.


What are we looking for

Qualification:
o ACA or ACCA fully qualified or
o CIA (Certified internal auditor)

Minimum requirements
o 57 years in controls testing, internal audit, or SOX compliance
o Experience designing and executing risk-based control testing programmes
o Regulated financial services industry experience mandatory
o Experience with both ITGCs (IT General Controls) and business process controls
o Experience with deficiency grading, root cause analysis, and remediation tracking
o Experience producing control reporting for senior management and/or Audit Committees

Desirable:
o Experience in a wealth management, platform, or fintech environment
o Experience designing KPI/KRI frameworks and control dashboards
o Experience delivering controls or compliance training programmes
o Big 4 audit or advisory background

Control Testing Expertise: deep knowledge of risk-based testing methodologies, sampling techniques, and evidence standards

Data Analytics: ability to leverage data analytics for continuous monitoring and control effectiveness assessment

Dashboard Reporting Design: experience designing executive-level control dashboards and KPI frameworks

Automation Mindset: ability to identify and specify automation opportunities in manual control environments

Training Communication: ability to design and deliver engaging controls training to non-specialist Finance audiences

Stakeholder Management: comfortable presenting control findings and recommendations to senior Finance leadership

Issue Management: structured approach to tracking, escalating, and driving remediation of control deficiencies

Systems Awareness: understanding of Finance systems (ERP, consolidation tools, planning tools) and associated control points

Continuous Improvement: proactive mindset focused on embedding lessons learned and driving ongoing control enhancement


Roles and Responsibilities:

Lead the design and implementation of control monitoring, testing, automation and capability workstreams within the Finance Controls Improvement Plan.

Bridge the gap between framework design and operational effectiveness by ensuring controls are monitored, tested, evidenced and embedded into day-to-day Finance operations.

After the build phase, transition into the BAU Controls Testing Assurance Lead role, owning the annual control testing programme, issue management and remediation tracking.

Key Accountabilities

Lead delivery of control monitoring and reporting, systems and automation controls, and controls capability and culture workstreams.

Define the KPI and KRI framework for Finance controls and implement the Finance Controls Dashboard to provide visibility of control performance and effectiveness.

Develop control effectiveness measures, exception reporting and Audit Committee reporting on control health.

Design and implement the control testing methodology and risk-based testing plan, including sampling approaches, evidence standards, deficiency grading and remediation tracking.

Assess manual control dependencies and identify practical automation opportunities across Finance processes.

Work with Data, Systems and Automation specialists to improve system access controls, workflow approvals, automated reconciliations and master data controls.

Lead the development and delivery of the Finance Controls Training Programme for Finance control owners and related stakeholders.

Define the control competency framework and support the embedding of controls objectives into Finance performance management.

Transition to the BAU Controls Testing Assurance Lead role from January 2027, owning the annual testing programme, issue management and remediation tracking.
Key Deliverables (not exclusive list)

Control Monitoring Reporting
o Finance Controls Dashboard
o KPI/KRI Framework
o Control Testing Methodology
o Controls Testing Plan
o Management Reporting Pack

Controls Capability Culture
o Finance Controls Training Programme
o Control Competency Framework
o Communications Plan
o Continuous Improvement Framework

Data, systems Automation Controls
o Automation Roadmap
o System Controls Framework
o Access Governance Standards
o Data Control Framework


Qualification Any Graduation