Internal Audit & Regulatory Audit Liaison – Control Testing Unit- SVP

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Job Overview

Individual with an experienced and highly effective Internal & Regulatory Audit Liaison and Engagement Manager to serve as the primary point of contact and coordinator for all internal and external audit activities and regulatory examinations for Central Testing Unit and will be based out of India (Pune/Chennai). This critical role involves orchestrating robust engagement between our organization and regulatory bodies, as well as internal and external auditors. The successful candidate will be instrumental in facilitating seamless information exchange, ensuring timely and accurate responses, and fostering strong collaborative relationships. This position demands exceptional communication skills, a meticulous attention to detail, a deep understanding of audit and regulatory processes, and a proactive approach to identifying and driving continuous process improvements. The role will report into the Strategy Governance and Automation  Lead (SG&A) in India ,catering to Central Testing Unit(CTU).

Key Responsibilities include:

• Audit & Regulatory Engagement Strategy:
  • Develop and implement strategies for effective engagement with internal audit, external auditors, and regulatory agencies throughout the entire lifecycle of examinations and audits.
  • Serve as the central point of contact, orchestrating communications, meetings, and information flow between audit/regulatory bodies and internal stakeholders.
• Coordination & Facilitation:
  • Lead the coordination efforts for all regulatory examinations and internal/external audits, ensuring a structured approach from initial request through to successful closure.
  • Facilitate the gathering, review, and submission of requested documentation and data, collaborating closely with various business units and subject matter experts.
  • Ensure that all responses to audit and regulatory inquiries are comprehensive, accurate, well-supported, and delivered within established deadlines.
• Communication & Relationship Management:
  • Communicate effectively, clearly, and accurately using written and verbal communications with Senior Management, Regulatory Agencies, and Internal/External Auditors.
  • Cultivate outstanding relationship management skills with the ability to work collaboratively with people at all levels of the organization to ensure accurate, complete, and timely delivery of regulatory exam/internal audit requests.
  • Prepare and present status updates, key findings, and action plans to senior leadership and relevant committees.
• Quality Assurance & Credible Challenge:
  • Exercise strong attention to detail by meticulously reviewing all submitted materials, ensuring accuracy, consistency, and alignment with audit/regulatory expectations.
  • Ability to provide a credible challenge and escalate concerns regarding data integrity, control effectiveness, or proposed responses to ensure the highest quality of submissions and internal practices.
• Process Optimization:
  • Ability to identify and drive process improvements, simplification and standardization across relevant internal units in CTU.
  • Contribute to the enhancement of internal controls and operational efficiencies based on audit findings and regulatory feedback.
• Team Collaboration & Independent Work:
  • Ability to work independently to manage multiple concurrent examinations and audits in a fast-paced environment with tight deadlines.
  • Collaborate with team members effectively on virtual teams, including across different geographies and time zones, ensuring cohesive and synchronized efforts.

Qualification

• Total 12+ years of experience with 5+ years relevant experience with regulatory exams and/or audit management; knowledge of the exam and audit lifecycles
• Communicate effectively, clearly, and accurately using written and verbal communications with Senior Management, Regulatory Agencies and Internal/External Auditors
• Outstanding relationship management skills with the ability to work collaboratively with people at all levels of the organization to ensure accurate, complete and timely delivery of regulatory exam/internal audit requests
• Strong attention to detail and ability to deliver in a fast-paced environment with tight deadlines
• Ability to provide a credible challenge and escalate concerns
• Ability to identify and drive process improvements, simplification and standardization across CTU
• Ability to work independently and collaborate with team members effectively on virtual teams, including across different geographies and time zones

• Bachelor’s degree in finance, Accounting, Business Administration, or a related field.
• Relevant professional certifications (e.g., CPA, CIA, CAMS, CISA) are highly desirable