Location: Mumbai, Maharashtra, India

Are you looking for an exciting opportunity to join a dynamic and growing team in a fast paced and challenging area? This is a unique opportunity for you to work in our team to partner with the Business to provide a comprehensive view.

As Governance Sr Associate within Risk Management & Compliance Office of Legal Obligations (OLO) and Legal & Regulatory Change Management (LRCM) Governance Team, youll support the Firms Compliance Risk Assessment (CRA) activities, facilitating validation and change management of Compliance Group to Legal Obligation alignment. Youll provide oversite to the annual obligation data enrichment process, specifically for the activities completed by Compliance, Conduct & Operational Risk (CCOR). To be successful in your role youll partner with stakeholders across Risk Management & Compliance, Legal, Control Management, Technology and other line of business/corporate function teams. 

Job Responsibilities

• Execute day-to-day CRA and OLO Tier II oversight activities, including Compliance Group to Legal Obligation review coordination, intake, review and resolution of CRA change requests from Control Managers and other stakeholders, Consumer Regulatory Topic updates and Compliance Risk Theme tagging support
• Coordinate monthly CG-to-Legal Obligation review cycles, including preparing review files, tracking CG Lead dispositions, monitoring pending items, sending status updates and escalating aged or overdue responses in line with agreed target dates 
• Review, investigate and remediate data quality issues, including duplicate mappings, incorrect Compliance Group assignments, out-of-scope determinations and items requiring CCOR Regulatory Assessment disposition 
• Partner with Compliance, Legal, Control Management, Technology and Risk stakeholders to support taxonomy changes, Compliance Group creation, merge, split, retirement and inactivation activities in the Enterprise Library Application 

Required qualifications, capabilities and skills

• 3+ years of experience in risk, controls, compliance, operations, governance, regulatory change, data management or a related business function 
• Strong understanding of governance and control execution, including issue identification, disciplined follow-up, stakeholder coordination and escalation judgement 
• Experience working with large data sets, trackers or review files, including the ability to identify duplicates, reconcile outcomes, summaries pending populations and produce clear status reporting 
• Ability to work in a high-paced environment, flex to changing priorities and meet tight deadlines across recurring BAU cycles and ad hoc stakeholder requests 
• Working knowledge of risk management & compliance taxonomy, legal obligation mapping or regulatory change management concepts, including the importance of accurate tagging, transparent governance and auditability 

 

Preferred qualifications, capabilities and skills

• Experience with the Enterprise Library Application, Office of Legal Obligations, or Compliance Risk Assessment activities 
• Experience supporting monthly governance cycles, stakeholder dispositions, SLA monitoring, exception management and senior stakeholder escalation  
• Experience using data analysis, automation or approved AI-enabled analytics responsibly, including validating outputs, documenting assumptions and partnering with risk or control stakeholders on appropriate 
• Commercial awareness of risk, control and regulatory governance environments, including the importance of timely, accurate and auditable mapping between obligations, topics, compliance groups and impacted stakeholders 
• Reporting and analytics capability, including experience using QlikSense as an end user to access dashboards, interpret reporting outputs and support management information or governance reporting

Risk Management & Compliance Senior Associate