- Contribute and point-out risks of the product/service during pre-planning work.
- Prepare the control checklist required for the review for each regulatory and unregulated functions
- Design work programs and execute steps within the agreed deadlines to evaluate compliance with rules and regulations.
- Interact with senior heads of business and compliance as part of scoping, control design assessment, reporting findings and offering solutions to address control gaps or enhance processes.
- Formulate questions to be asked during walkthroughs and lead walkthroughs when called upon
- Identify controls after attending a walkthrough, specifically those related to the risks noted
- Provide rough drafts of issue documentation.
- Define test scripts, coordinate with respective development teams to run the same during the review process and evaluate the outcome along with the manager.