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De scription de poste :

Overview:

As a Lead - Monitoring & Testing, you will execute compliance testing engagements to assess the design and operating effectiveness of key regulatory controls across business units for Asia. You will play a critical role in strengthening the Regulatory Compliance Management (RCM) framework by identifying control gaps, driving remediation, and providing data-driven insights to stakeholders

Your scope of work / key responsibilities:

1. Testing Execution & Planning





- Develop and execute risk-based compliance test plans using standardized methodologies
- Define scope, sampling approach, and testing procedures
- Ensure consistency, quality, and adherence to enterprise testing standards

2. Fieldwork & Control Assessment

- Perform control walkthroughs and substantive sample testing to assess control design and operating effectiveness
- Apply data analytics techniques for sample selection and validation

3. Documentation & Reporting

- Document test procedures, findings, and evidence in working papers
- Prepare clear and concise Compliance Test Reports
- Maintain audit-ready documentation in tools such as Archer/SharePoint

4. Issue Identification & Remediation

- Identify control gaps, root causes, associated risks and provide recommendations to address the noted findings
- Assess adequacy of remediation plans

- Track and validate closure of issues and ensure sustainability of fixes

5. Stakeholder Management

- Collaboration with Business Units (1LoD), Compliance (2LoD), and SMEs
- Validate findings and ensure factual accuracy
- Present results and influence stakeholders for timely remediation

6. Governance & Continuous Improvement

- Contribute to enhancement of testing methodologies and frameworks

- Support regulatory inspections and internal audits
- Assist in development of dashboards, MI reporting, and trend analysis
- Support quality reviews of testing workpapers





Key Qualifications and experience

5 to 7 years of total working experience across the below-mentioned skills:

- Total Experience: 5–7 years
- Min Experience: 3–5 years in compliance testing / internal audit / risk management
- Mandatory Skills:
- Compliance testing / internal audit experience
- Strong understanding of RCM framework and control effectiveness assessment
- Experience in sampling techniques and testing methodologies
- Strong documentation and report writing skills
- Stakeholder management and communication skills
- Ability to evaluate and work in complex control environments

- Recommended Skills:
- Experience in financial services / insurance sector
- Knowledge of Compliance Pillars such as AML/Privacy/conduct, Regulatory compliance, and risk frameworks as applicable to FI’s/Insurance is preferred
- Recognized qualified accounting and compliance designations (e.g. CPA/CA, CIA, CAMS, CIPM etc.is preferred)
- Prior experience in Corporate Function testing (such as IT, HR, Finance, Tax, Legal, etc.) is preferred.
- Exposure to tools such as Archer, SharePoint, Tableau etc.
- Experience in data Analytics to perform exception-based testing
- Must have experience in executing end-to-end compliance testing engagements
- Ability to translate legislation and regulations into business impacts, compliance elements and regulatory risks
- Must have knowledge of regulatory requirements and control frameworks
- Strong leadership and communication skills (verbal as well as written) for stakeholder engagement and influencing outcomes

Ability to operate in a deadline-focused environment

Catégorie d'emploi :

Contrôle de la conformité

Fin de l'affichage :

05/08/2026

📌 Lead - Compliance, Monitoring & Testing (Gurugram)
🏢 Sun Life
📍 Gurugram