Job Description

SAD - CF- Risk and Legal

Responsible for the management of firm wide RCP (Risk Compliance Program) / CT (Control Testing)•Develops, initiates, maintains, and revises policies and procedures for the general operation of Risk Management across the platform in compliance with GQ&RM requirements•Responsible for yearly SoQM (System of Quality Management)•Collaborates with other BUs / departments to direct independence / compliance issues to appropriate existing channels for enquiry and resolution.•Responsible for BGV exceptions and guide the relevant team/s•Lead and conduct conformance reviews across the platform on agreed upon areas•Manages the client reviews and audits for Bangalore location.•Responds to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating or recommending the initiation of enquiry procedures. Develops and oversees a system for uniform handling of such violations.•Acts as an independent review and evaluation resource to ensure that compliance Issues/concerns within KGS are being appropriately evaluated, investigated and resolved.•Provides reports on a regular basis, and as directed or requested, to keep the Board and senior management informed of the operation and progress of compliance efforts.•Supports the RMP in monitoring & providing direction and management of the compliance / whistle blower hotline cases.•Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Hotline; (b) heightened awareness of Code of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.•Works with the Risk Management team at KGS and KPMG India and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers•Liaise with KPMG India Risk Management team to implement policies and procedures, trainings and compliance activities. Work with the Disciplinary Committee that is responsible to act in cases of non-compliance with policies and procedures.•Liaise with risk and compliance contacts in other KPMG member firms on matters relating to KGS (and related entities).•Oversight on compliance with various RM trainings / affidavits including Ethics & Independence trainings (new joiners and annual).•Actively build and sustain professional relationships and interface with key internal KGS and Client (Member Firm) stakeholders•Manage the KGS data preservation notification and collection processes•Sustain the HIPAA process instituted in the firm by RM team•Responsible for the Risk Management team in KGS – allocating roles and responsibilities, reviewing work programs and evaluating and providing feedback on performance on a regularly and robust manner, thus helping the team to perform to its potential and helping colleagues achieve their career aspirations. •CA’S, MBAs, CFAs, and/or Engineers from a leading Indian/International educational institutions•Certification holders in risk management and allied streams will be preferred.