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Job Description:
Overview:
What will you do?
As a Lead- Monitoring & Testing, you will execute compliance testing engagements to assess the design and operating effectiveness of key regulatory controls across business units for Asia. You will play a critical role in strengthening the Regulatory Compliance Management (RCM) framework by identifying control gaps, driving remediation, and providing data-driven insights to stakeholders
Your scope of work / key responsibilities:
1. Testing Execution & Planning
Develop and execute risk-based compliance test plans using standardized methodologies
Define scope, sampling approach, and testing procedures
Ensure consistency, quality, and adherence to enterprise testing standards
2. Fieldwork & Control Assessment
Perform control walkthroughs and substantive sample testing to assess control design and operating effectiveness
Apply data analytics techniques for sample selection and validation
3. Documentation & Reporting
Document test procedures, findings, and evidence in working papers
Prepare clear and concise Compliance Test Reports
Maintain audit-ready documentation in tools such as Archer/SharePoint
4. Issue Identification & Remediation
Identify control gaps, root causes, associated risks and provide recommendations to address the noted findings
Assess adequacy of remediation plans
Track and validate closure of issues and ensure sustainability of fixes
5. Stakeholder Management
Collaboration with Business Units (1LoD), Compliance (2LoD), and SMEs
Validate findings and ensure factual accuracy
Present results and influence stakeholders for timely remediation
6. Governance & Continuous Improvement
Contribute to enhancement of testing methodologies and frameworks
Support regulatory inspections and internal audits
Assist in development of dashboards, MI reporting, and trend analysis
Support quality reviews of testing workpapers
Key Qualifications and experience
3-6
years of total working experience across the below-mentioned skills:
Total Experience: 3-6 years
Min Experience: 3 yrs in compliance testing / internal audit / risk management
Mandatory Skills:
Compliance testing / internal audit experience
Strong understanding of RCM framework and control effectiveness assessment
Experience in sampling techniques and testing methodologies
Strong documentation and report writing skills
Stakeholder management and communication skills
Ability to evaluate and work in complex control environments
Recommended Skills:
Experience in financial services / insurance sector
Knowledge of Compliance Pillars such as AML/Privacy/conduct, Regulatory compliance, and risk frameworks as applicable to FI’s/Insurance is preferred
Recognized professional accounting and compliance designations (e.g. CPA/CA, CIA, CAMS, CIPM etc.is preferred)
Prior experience in Corporate Function testing (such as IT, HR, Finance, Tax, Legal, etc.) is preferred.
Exposure to tools such as Archer, SharePoint, Tableau etc.
Experience in data Analytics to perform exception-based testing
Must have experience in executing end-to-end compliance testing engagements
Ability to translate legislation and regulations into business impacts, compliance elements and regulatory risks
Must have knowledge of regulatory requirements and control frameworks
Strong leadership and communication skills (verbal as well as written) for stakeholder engagement and influencing outcomes
Ability to operate in a deadline-focused environment
Job Category:
Compliance
Posting End Date:
28/05/2026
