Risk & Controls Manager Job at FloQast (Pune)

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Controls Manager - Risk Advisory Services

As a Controls Advisory Manager in our Risk Advisory Services (RAS) team, you wil...

Location

United Kingdom , London; Leeds; Greater Manchester

Salary:

Not provided

BDO UK LLP

Expiration Date

Until further notice

Requirements

Proven experience delivering controls advisory, internal controls or risk management engagements, ideally within a professional services environment.
Strong understanding of internal controls frameworks, including controls design, operating effectiveness, identification of deficiencies and remediation planning (e.g. US SOX, UK Corporate Governance Code or similar frameworks).
A relevant professional qualification (e.g. ACA, ACCA, MIIA, CCAB or equivalent).
Experience leading engagements at Manager level, including planning, delivery, review and senior stakeholder interaction
experience with GRC tools and/or AI testing capabilities would be desirable.
A pragmatic, commercial approach to applying risk and controls concepts across different client environments and sectors.
Strong communication skills, with the ability to engage credibly with client stakeholders and explain complex issues clearly.
Experience managing and developing others, with a collaborative and supportive leadership style, and the ability to balance multiple priorities effectively.

Job Responsibility

Leading the delivery of controls and risk advisory engagements
Managing client relationships
Supporting the development of junior team members
Working across a range of clients and sectors to help organisations design, implement and enhance their internal control environments
Providing pragmatic advice to address control weaknesses and emerging risks
Taking day‑to‑day responsibility for engagements, ensuring work is delivered to a high standard, on time and within budget
Building trusted relationships with clients
Supporting Directors and Partners with work
Contributing to the development of the Controls Advisory offering
Supporting marketing and business development activity across RAS

Senior Associate, Risk Manager- Controls Tester

As a Sr Risk Associate in the Financial Services Auto Risk Office, you will prov...

Location

United States , Plano

Salary:

87700.00 - 100100.00 USD / Year

Capital One

Expiration Date

Until further notice

Requirements

High School diploma, GED or equivalent certification
At least 2 years of experience in project, process, program, or risk management

Job Responsibility

Test regulatory controls across Financial Services to ensure Design and Operating effectiveness
Engage cross-functionally to gain a deep understanding of controls: automated, manual, and hybrid
Develop a deep understanding of business strategies, products, services, and risk profile
Identify and assess the impact of the changing regulatory environment on business objectives and risk appetite
Analyze data to proactively identify risks and trends and provide insights that support internal customers in decision-making
Provide guidance and advice to business partners on implementing risk policies and programs
Drive collaboration between the risk, compliance, legal, and other business support functions
Ensure independent escalation of risk management gaps, issues, and concerns to executive management and when appropriate, the Board of Directors, including emerging risks and regulatory focus areas
Identify opportunities to improve risk management practices and develop solutions to perfect risk management, eliminate waste, and deliver an exceptional customer experience

What we offer

performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being

Fulltime

New

It Governance, Risk And Controls Manager

We are partnered with a leading global beverage solutions provider who are looki...

Location

United States , Tampa

Salary:

130000.00 - 150000.00 USD / Year

Apollo Solutions

Expiration Date

Until further notice

Requirements

5+ years of relevant experience, including IT SOX within a US-listed environment
Strong experience in IT Risk, IT audit, or risk management within a large or global organisation (manufacturing experience is essential)
Deep knowledge of SOX compliance, IT general controls (ITGCs), and control frameworks
Experience with ERP systems, ideally SAP, and understanding of system control environments
Professional certifications such as CPA, CIA, CISA, or CRISC
Strong stakeholder management and communication skills
Analytical mindset with the ability to assess complex risks and controls
Highly organised with strong project and program management capabilities

Job Responsibility

Lead comprehensive IT risk assessments across applications, infrastructure, and data environments
Develop and maintain risk registers, identifying key threats, impacts, and mitigation strategies
Own and enhance SOX compliance processes, including RCM maintenance and control testing
Evaluate application controls, interfaces, data transfers, and report accuracy (IPE validation)
Monitor and manage third-party risk, developing and implementing risk frameworks
Oversee IT disaster recovery planning, testing, and audit readiness
Assess cybersecurity posture and evaluate the impact of incidents on controls and reporting
Ensure compliance with regulatory frameworks such as SOX and NIST
Partner with IT and business stakeholders to remediate risks and strengthen controls
Support internal and external audits and deliver GRC training initiatives

Fulltime

Manager Financial Crimes Risk Controls Transformation

The Manager, Financial Crime Risk & Controls Transformation is responsible for s...

Location

United States , New York; Phoenix

Salary:

89250.00 - 150250.00 USD / Year

Amex

Expiration Date

Until further notice

Requirements

Prior experience in transformation and program management with strong understanding of governance, target operating models, and control frameworks
Experience in supporting multi-year strategic programs that cut across multiple cross-functional/Business Unit teams to accelerate strategic alignment and drive business, customer, and regulatory outcomes
Demonstrated ability to self-start, carve opportunities out of white space, define a strategic vision, and drive results with a high degree of independence
History of high performance with demonstrated adaptability to excel in a fast-paced environment and adjust to shifting priorities
Excellent communication, and interpersonal skills, with an ability to interact and obtain buy-in from senior BU/tech counterparts
Ability to maintain a positive attitude in the face of challenges
Bachelors Degree or equivalent years of experience required

Job Responsibility

Support the management of a multi-year roadmap across multiple workstreams to drive Financial Crimes transformation for Legal Entity
Partner closely with GFCC, 1st Line Business Unit Teams, and other 2LOD Global Risk and Compliance groups to implement financial crime risk management frameworks for Legal Entity across all lines of business and products
Support the maintenance of 1LOD financial crimes governance structures and control mapping while partnering with business unit teams
Support the execution of the Guardian plan for financial crimes risk with focus on Governance, Standard operationalization with focus on Legal Entity
Develop reporting to measure overall program health and proactive issue management
proactively drive recurring communications and executive materials creation to ensure transparency and collective understanding
Partner with 1st line of defense product & capabilities and data governance team to support building the future state financial tools and capabilities
Support robust change management towards managing compliance with financial crime regulations by reviewing and challenging controls across the organization and building external perspective

What we offer

Bonus incentives
6% Company Match on retirement savings plan
Free financial coaching and financial well-being support
Comprehensive medical, dental, vision, life insurance, and disability benefits
Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
Free and confidential counseling support through our Healthy Minds program
Career development and training opportunities

Fulltime

Risk Manager, Risk Assessments

As a Manager within the Commercial Risk Office, you will join a high-performing ...

Location

United States , Charlotte; McLean; Richmond; Plano

Salary:

138100.00 - 173400.00 USD / Year

Capital One

Expiration Date

Until further notice

Requirements

Bachelor’s Degree or military experience
At least 5 years of experience in financial services
At least 2 years of experience in a project management role

Job Responsibility

Orchestrate Flagship Risk Programs: Lead the strategic execution and governance of Capital One’s four flagship risk assessment programs for the Commercial Bank: Divisional Risk Identification, Business Unit Risk Assessments, Process Level Assessments, and Product Risk Assessments
Cross-Functional Portfolio Exposure:Provide expert risk oversight and advisory across diverse Commercial Banking lines of business, including Capital Markets, Commercial Real Estate (CRE), Corporate Banking, and Treasury Management
Multi-Dimensional Risk Management: Analyze and mitigate a broad spectrum of risk disciplines, ensuring comprehensive coverage of Operational, Compliance, Strategic, Reputational, Market, Liquidity, and Credit risks
Strategic Ecosystem Collaboration: Act as a critical 1st Line partner by collaborating with 2nd Line (Enterprise Risk Management, Operational Risk Management, Compliance, AML) and 3rd Line (Audit) stakeholders to drive exam readiness and develop leading-edge mitigation solutions
Analytical Trend Identification:Utilize advanced analytical skills to identify internal and external risk trends, transforming data-driven insights into actionable improvements for the broader Risk Management Framework
Thought Leadership & Innovation: Serve as a subject matter expert by challenging the status quo and evaluating current practices to evolve the Commercial Risk Assessment Program in alignment with a changing regulatory landscape
AI-Driven Risk Innovation:Identify and implement opportunities to leverage Artificial Intelligence to automate risk identification, enhance the control environment across risk profiles, and drive efficiency across high-volume assessment workstreams
Relationship Management: Build and maintain high-trust partnerships across Legal, Fraud, and Tech/Cyber teams to ensure risk assessments are integrated, holistic, and supportive of long-term business growth

What we offer

performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being

Fulltime

Senior Manager / Manager, Risk Advisory Services

Risk Advisory Services team provides a wide range of consultancy services, inclu...

Location

Hong Kong , Hong Kong

Salary:

Not provided

Forvis Mazars

Expiration Date

Until further notice

Requirements

Bachelor’s degree or above in Accounting / Finance or related discipline
Member of professional qualification preferred such as HKICPA / ACCA / CPAA / CIA
A minimum of 7 years of relevant experiences in professional accounting firms
Experience working within risk assessment, internal audit, internal control, operation audit or compliance function as an internal employee or as part of a professional services firm
Fluency in spoken English and Cantonese
Putonghua is a must
Good written presentation skills in both English and Chinese (HKDSE Level 5 or above in Writing, or equivalent)
Attention to details, able to work independently to deliver timely, accurate and high-quality work
Strong business acumen, strategic planning, and project management skills
Logical thinker with excellent interpersonal and communication skills

Job Responsibility

Responsible for designing and take the lead in executing the day-to-day activities of risk management and internal audit review engagements and / or advisory engagements for our listed clients / undergoing IPO applications in Hong Kong
Obtain good understanding of business operations, processes and controls
Plan activities related to development of audit programme, and execution of internal audits
Participate in proposal development, project scoping, delivery risk management and the review of deliverables
Participate in seminar, forum, in house / external training session
Provide insights to client via qualitative and quantitative risk analysis and rating, risk management strategy and relevant internal control objective
Review, analyse, inspect and evaluate the implementation of control operations, identify internal control weaknesses and provide value-added recommendations
Familiar to prepare ESG reporting in accordance with ESG Reporting Guide of The Hong Kong Stock Exchange and / or similar requirements in worldwide countries

What we offer

medical and dental insurance
life insurance
5-day working week
discretionary performance bonus
birthday leave
marriage leave
employee activities

Fulltime

It Senior Manager / It Manager, Risk Advisory Services

Forvis Mazars is a leader in audit, tax and advisory services worldwide, operati...

Location

Hong Kong , Hong Kong

Salary:

Not provided

Forvis Mazars

Expiration Date

Until further notice

Requirements

Bachelor's degree in computer science, Information Management, Accounting, or other related disciplines
Manager should possess 5+ years' working experience within IT Audit, Cybersecurity, IT Information Security or IT Risk
more experienced may be considered for the position of Senior Manager
Professionally qualified in CISA, CPA other specialist skills/qualifications
Strong command of written and oral communication skills (English, Mandarin & Chinese)
Strong teamwork ability and able to work independently
Good interpersonal, communication and problem-solving skills

Job Responsibility

Analyse and evaluate client's IT risks and controls, provide IT risk reduction recommendations, and assist in implementing solutions
Conduct benchmarking and gap analysis with IT risk-related industry frameworks (i.e. NIST, ISO, COBIT, C-RAF etc.) and provide recommendations
Assist with scoping, financial management, delivery risk management and the initial review of deliverables
Conduct fieldwork and manage small project teams to deliver value-added assurance services to clients
Identify and communicate IT audit findings to senior management and clients
Provide IT general controls and application controls audit support to external audit
Determine the objectives, scope and extent of each IT audit and ensure that the IT audit is professionally and efficiently completed within deadlines
Perform security and vulnerability assessment, assist in compliance monitoring review to identify control weaknesses and recommend remedial actions
Provide an advisory role to business units and IT groups to assess security requirements and controls
to enforce security control policies as planned

What we offer

medical and dental insurance
life insurance
5-day working week
discretionary performance bonus
birthday leave
marriage leave
employee activities

Fulltime

Senior Risk Manager - Third Party Risk

The role supports the Head of Operational Risk in the oversight and management o...

Location

United Kingdom , London

Salary:

Not provided

Social Value Portal Ltd

Expiration Date

Until further notice

Requirements

Degree level educated or an equivalent combination of education training and experience with third-party frameworks and industry standards
and/or relevant professional qualification (e.g., IRM International Certificate in Operational Risk, Practitioner Certificate in Information Management, etc.)
Proven third party risk expertise, preferably with knowledge of relevant standards such as ISO 27001, ISO 22301, NIST, and COBIT
A strong understanding of the Lloyd's or wider company insurance market and frameworks is preferable
Knowledge and experience of risk management frameworks and tools
Demonstrate effective understanding of relevant TPRM regulations for a global organisation operating across the UK, EU, US and Asia
Understanding of the commercial drivers and dynamics affecting risk decisions in the insurance sector, as well as operational and risk processes found within an international insurance group
Ability to build strong partnering relationships with a wide range of stakeholders, in particular the 1st Line TPRM team
Ability to interact professionally and with credibility and manage expectations of management and key stakeholders
Ability to manage time, meet deadlines and prioritise

Job Responsibility

Provide independent oversight and effective challenge to first-line operational risk activities
Review, challenge and contribute to the Third Party Risk Management (TPRM) framework, policies and standards
Support the Head of Operational Risk in facilitating regular Risk & Control Self Assessments (RCSAs) with first line risk owners and stakeholders, ensuring the assessments are performed and documented accordingly
Oversee the management of delegated authority risk within Underwriting, Claims and Operations as part of the TPRM framework
Ensure consistent risk tiering and materiality assessments for all third parties
Review and challenge residual risk assessments, risk acceptances, and exceptions related to Operational Risk
Oversee integration of Third Party Risk into operational resilience, technology, cyber, and data frameworks
Support the implementation and maintenance of a robust control environment with clear ownership and accountability within the business, ensuring control documentation remains accurate and current
Develop and monitor key risk indicators (KRIs) and support risk appetite monitoring and management
Work collaboratively with 1st Line and Risk domain teams, supporting the embedding of the Operational Risk and TPRM framework into the organisation and across the 3 Lines of Defence model

Fulltime

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Risk & Controls Manager

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