Supervisor, Controls & Compliance

Job Title:

Supervisor, Controls Compliance

Job Description

Concentrix is a technology-enabled global business services company specializing in customer engagement and improving business performance. We partner with ambitious, progressive executives around the world to future-proof their business and stay ahead of the competition and customer expectations.

Key Responsibilities:

• Involve in change management process by facilitating change requests to obtain internal approvals and legal /clients signoffs.
• Facilitate sharing of learning from matters such as incidents, process improvements and updates to policies and standards.
• Consistently communicate the need and value of a mature risk environment to all levels of management (regular communications to the team)
• Perform weekly/monthly reconciliation on active HC to ensure compliance to ASIC regulatory and contractual requirements.
• Conduct due diligence assessments on both logical and physical security. Establish execute control testing protocols to ensure relevant controls work the way they are defined.
• Manage reviews to assess the service delivery control environment and evaluate adherence to client-identified contractual requirements and Concentrix policies and standards.
• Perform monthly control self-assessments to all LOB and there by assess residual risk ratings.
• Set up processes to monitor and test compliance to complete all mandated checks control across the delivery center.
• Perform and review failure mode effect analysis (FMEA) on regular basis.
• Test FMEA controls and report outcome to Stakeholders.
• Mitigate risks in consultation with risk owners and ensure residual risks are within Organization appetite.
• Articulate risks clearly timely to the stakeholders, should be good at writing risk reports.
• Conduct awareness risk training sessions and promote awareness across the business.
• Ensure thorough and complete Integrity training and education in the unit - with zero tolerance of Code of Ethical Business Conduct violations.
• Establish and execute a robust methodology for monthly internal audits such as that cater to zero surprises in all audits conducted by Client or any of our internal Concentrix teams.
• Work across teams and help in establishing controls to mitigate the deficiencies highlighted.
• Ensure all Client regulatory statutory requirements like BCOB, DPA, Sanctions, FC, AML all regulatory trainings are catered to effectively.
• Ensure thorough and complete Integrity training and education in their unit - with zero tolerance of CNX violations.
• Facilitate Risk assessment tool set documents for all high impact processes and ensure the documents are reviewed every 6 months and changes should be highlighted to the management as well as to the client.
• Establish execute control testing protocols to ensure relevant controls work the way they are defined. It s imperative to highlight the deficiencies in controls to relevant stake holders along with the mitigation plan.
• Operations across sites should have a robust risk profile in place.

• Risk reporting is consistent, clear, accurately measured and communicated to Risk Compliance teams with in CNX client side.
• All BCP plans to be up to date, tested and signed-off with incidents fully investigated to identify root cause and improvements - year end date given as testing is over 12 months but tracked monthly.
• Establish testing packs for all Regulatory statutory deliverables from CNX Client standpoint and execute the same on a monthly basis to highlight deficiencies.
• To help identify trends in MI collected, highlighting issues and submitting recommendations for action.
• Collect and collate MI on a regular basis to ensure reporting standards and requirements are met.
• To identify any compliance related issues in their day-to-day work and escalate these if appropriate to the Line Manager for consideration and action.
• Maintain control of all Compliance logs and ensure all new policies have Compliance sign-off.
• Have full understanding of whistle blowing and take appropriate action when required, ensure all staff understands responsibilities and check understanding on regular basis.
• Undertake full FFC Training and implement within day to day working environment, remain vigilant and report any suspicions immediately to Line manager LMLRO / LTSB Compliance Manager / Onshore
• Ensure all Audits for the year are Green with no major non-conformances reported for the process.
• Take initiatives to spread awareness of BCP among all staff members on Risk Assessment tool set, Risk life cycle, KCO and all other such requirements.
• Work across teams and help them establishing controls to mitigate the deficiencies highlighted through internal audits.
• Engage relevant teams to cater to deficiencies highlighted through testing packs and show case improvements.
• Continue visiting the Inherent Risk on the Risk profile for Operations on a quarterly basis to ensure that the team understands what can go wrong and takes relevant actions for mitigating all such issues.
• Facilitate the requirements enunciated by all functions with the RC framework and take them to closure.
• Ensure that Service Excellence drives risk culture and delivery at all levels of the operation.
• Be actively involved in the change management process to ensure all relevant risks are highlighted through the impact assessment on all CRs.
• Help the teams to adhere to KCO requirements through regular checks and flag all anomalies to the management.
• Facilitate Control design effectiveness and control operational efficiency improvements through RCAs.
• Impart knowledge to the first line managers on the risk tools and methods used by RC team to cater to all deliverables.
• Engage with Operations team to deliver the following on Risk MI on monthly basis to the clients on time.

Key Skills:

• Knowledge of Risk Management Frameworks
• Knowledge of ISO 31000, Data Privacy, India IT Act/Cyber Laws
• Should be able to Identify, evaluate, treatment, monitoring and communication as part of risk management cycle
• Should have experience dealing with Banking risk, Data privacy risk, operational risk, Business continuity risk
• Should have experience in preparing FMEA/risk register and testing controls
• Must have good risk report writing skills and articulate risks to the stakeholders in an effective manner

• Analytical skills
• Ability to challenge the status Quo.
• Ability to work in a complex environment and cut through the clutter.
• Proficiency in report writing skills.
• Excellent verbal and written communication skills
• Ability to work with multiple stakeholders in a matrix hierarchy.
• Excellent communication and presentation skills
• Ability to provide structure and solution to problematic areas, providing reasoned explanation to ensure that agreement is reached by different parties.

Educational Qualification:

Graduate

Disclaimer: -

Neither Concentrix nor any authorized 3rd party who assist with our recruitment process, ever ask candidates for recruitment , processing or any other kind of fees in exchange for offer letters from Concentrix. Offer letters and other recruiting correspondence from Concentrix are printed on Concentrix letterhead with authentic signatures of appropriate Concentrix authorities.

Location:

IND Gurgaon Building 14 - 11F, Tower D

Language Requirements:

Time Type:

Full time

If you are a California resident, by submitting your information, you acknowledge that you have read and have access to the Job Applicant Privacy Notice for California Residents