Lead - Compliance Monitoring & Testing

About the role

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: 04/06/2026