Job Description

Skill set:

  • Internal Audit – Mutual Funds
  • Operational Risk background
  • Liaising for Audits (Internal, SSAE 16 & SOX), external assessments and Regulatory Exams
  • Stakeholder management

Background on the Team 

  • The position would be responsible for providing support to the Operations Risk Team within Investment Management Operations.
  • The Risk team manages the risk within all Operations line teams and includes risk identification, reporting, mitigation.
  • The team is also involved in Audit facilitations, user entitlements reviews, independent assessments, business continuity planning, managing regulatory risks etc.
  • The team has an onshore presence in the respective regions of North America and EMEA and also an offshore presence in Mumbai.

 Primary Responsibilities

 Position Description: 

  • The position would be primarily responsible for risk monitoring and reporting for operations functions in Investment Management. This position would also require the individual to work closely with functional teams in our international offices.

 Key Responsibilities: 

  • Manage the Risk Identification and Escalation Process
  • Operations Risk Management - Risk monitoring, Tracking, Reporting and Mitigation
  • Periodic functional risk assessments and reporting to Senior Stakeholders
  • Metrics Reporting and Senior Management reporting
  • System administration and Entitlements review facilitation
  • Business continuity Planning and Information Security Review
  • Liaising for Audits (Internal, SSAE 16 & SOX), external assessments and Regulatory Exams
  • Facilitate Risk Control Self-Assessments (RCSA)
  • Involvement in Projects & other related duties as assigned
  • Drive Risk Program and initiatives globally and regionally


Skills required (essential) 

  • Preferable experience in Investment Management and Operations Risk
  • Relevant prior experience in conducting internal audits for Mutual funds and any exposure to Audit exercises will be an added advantage
  • Graduate/Post Graduate (Finance/ Accountancy) with around 8 years of experience (Experience in Operations preferable)
  • Ability to lead and drive initiatives independently
  • Strong Presentation skills and an ability to report to and manage senior stakeholders
  • Strong verbal and written communication skills
  • Strong attention to detail, quality and accuracy
  • High degree of computer literacy, including working knowledge of Windows-based applications such as Word, Excel and PowerPoint
  • An ability to ‘think outside the box’ and look for creative solutions
  • Demonstrated ability to work effectively in a team-oriented environment
  • Strong drive for continuous improvement