Risk and Compliance Manager

Skill required: Risk & Compliance - Risk Management

Designation: Risk and Compliance Manager

Qualifications:Chartered Accountant

Years of Experience:13 to 18 years

What would you do? What would you do?The Manager ?? Risk & Compliance (SOX) will lead the monitoring of the client??s SOX compliance program, assist the client in control design, testing (Design Effectiveness & Operating Effectiveness), audit coordination, and remediation tracking. The role will serve as a key interface between business stakeholders, internal audit, and external auditors to ensure robust internal controls over financial reporting (ICFR) and regulatory compliance.

What are we looking for? QualificationChartered Accountant Years Of Experience12s + years 21)Participate in governance forums and stakeholder reviews.B) Key Skills and AbilitiesExperience with: 1)RACM preparation and control documentation2)Audit tools / GRC platforms3)Data analysis (Excel / reporting dashboards)4)Strong stakeholder management and communication skills 5)Ability to manage multiple priorities and timelines 6)Analytical thinking with attention to detail 7)Problem-solving and decision-making capabilityC) Preferred Qualifications1)CA / CPA / CIA / CISA or equivalent certifications2)Experience working with global clients and external auditors (Big4 exposure preferred)3)Exposure to large-scale transformation or shared services environmentsD) Key Deliverables / KPIs1)Timely completion of SOX testing cycles 2)Quality and completeness of audit documentation 3)Closure rate of audit findings / remediation actions 4)Accuracy of control effectiveness assessments 5)Adherence to audit timelines and SLAsCertifications ?? Relevant certifications may be required or advantageous for this role.Please note that this role may require working in rotational shifts.

Roles and Responsibilities:

A) Key Responsibilities1. SOX Controls Monitoring & Compliance1)Execute ongoing controls monitoring activities across business processes as per defined control frequencies. 2)Monitor control performance through dashboards, exception tracking, and trend analysis. 3)Identify control weaknesses, deviations, and emerging risks; escalate appropriately. 4)Ensure alignment with SOX 404 and COSO framework requirements.2. Assist in Controls Testing (SOX & Internal Audit)5)Support walkthroughs and risk assessments to validate process understanding.6)Support in Test of Design (ToD) and Test of Operating Effectiveness (ToE) for key controls. 7)Support the client in Developing and executing risk-based audit and testing plans. 8)Document testing procedures, results, and conclusions in line with audit standards.9)Ensure completeness and accuracy of audit evidence and working papers. 3. Audit Coordination10)Support internal audit and external audit engagements including walkthroughs, evidence submission, and query resolution. 11)Coordinate with process owners, control owners, and auditors across geographies. 12)Manage audit timelines, dependencies, and deliverables in a multi-stakeholder environment4. Issue Management & Remediation13)Identify control deficiencies and maintain issue logs with root cause analysis. 14)Track remediation actions and ensure timely closure of audit findings. 15)Perform remediation validation and re-testing to confirm effectiveness. 5. Risk & Control Documentation16)Maintain and update Risk and Control Matrices (RACM), process narratives, and SOPs. 17)Support control design enhancements and standardization initiatives.18)Ensure documentation meets audit and regulatory standards.6. Reporting & Governance19)Prepare SOX testing reports, dashboards, and governance decks.20)Provide insights on control effectiveness, risk trends, and audit outcomes.21)Participate in governance forums and stakeholder reviews.

Qualification Chartered Accountant