Analyst - Quality Assurance & Risk Control
- Bhaganagar, Andhra Pradesh, Inde
- CDI, Plein-temps
- Franklin Templeton Investments
- 27 nov. 17 2017-11-27
Franklin Templeton International Services India Pvt. Ltd (FTISPL) is the Indian Services wing of Franklin Templeton, one of the Top Global Investment Management Company committed to offering High Quality Products and providing outstanding services to our customers who are individuals, institutions, pensioners, trusts, partnership firms and other clients. FTISPL at Hyderabad offers various IT /Business related service and support. It stands as a key business enabler of world-wide operations for Franklin Templeton Investment. Our vision is to be a premier global investment management organization by offering high quality investment solutions, providing outstanding service and attracting, motivating and retaining talented individuals.
The Quality Assurance & Risk Controls Auditor under general supervision is responsible for obtaining knowledge and understanding the overall functions being audited, considering the control environment, performing audit program steps, and documenting the results of the testing within the Fiduciary Operations. The auditor will perform various internal controls operational audits and/or working on special internal control and risk mitigation projects as requested by management.
Audit fieldwork includes: completing the audit steps and documenting results in a timely manner; preparing initial drafts of audit findings and recommendations.
This position will report to the FTCI QARC Program Manager, but will have indirect reporting to the other Business Unit supervisory teams.
JOB DUTIES/ RESPONSIBILITIES
Quality Assurance, Audit and Reporting
• Conduct testing and validation of FTCI internal operational and/or compliance controls, utilizing FTCI QARC and FTCI Operations staff.
• Establish a testing calendar and assist in defining timelines for performing testing, publishing test results and review the same with the Process owner.
• Assist in conducting root cause analysis.
• Perform remediation testing.
• Perform specific reviews on identified sub processes and identify potential risk areas and corresponding actions to mitigate the risk or bring it to an acceptable level.
• Perform periodic reviews with the Operations teams to discuss the dash boards, performance data, RCA, Trend analysis & Corrective Actions Preventive Actions(CAPA)
Risk & Control Management
• Identify potential control deficiencies for FTCI business units. Assists in the evaluation of how business changes impact processes and controls. • Work with management and staff to implement adequate controls and guides FTS teams in the implementation of key changes.
• Assisting with internal auditors, global compliance, and external auditors and/or regulators as necessary.
Knowledge, Skills and Abilities
• Understanding the company, industry and corporate governance regulations
• Continuing education development
• Expand industry/education knowledge through periodicals, webinars, and conferences.
• Prepare IPP
Training and Support
- Assists the Practice Lead in the development of business-oriented training materials for data owners and key constituents. Responsible for delivering training, as required, to members of FTCI.
- Assist in spearheading the new hire training plans/execution
- Assist in periodic review of procedure
- Assist in delivering the Process Improvement initiatives across all business units of Fiduciary Trust
EDUCATION and EXPERIENCE
Bachelor’s degree or equivalent. Auditing and/or accounting course work preferred
One to four years auditing experience preferred
Relevant Years of Experience
- 1-4 years auditing experience preferred
- Exposure to Lean Six Sigma methodologies
Industry / Specialization
• Previous experience in the asset management and/or banking industries a plus
• Knowledge of regulations affecting the asset management and banking industries a plus
• Should have good interpersonal skills
• Ability to communicate effectively both orally and in writing and to establish and maintain effective working relationships
• Ability to interact with senior management on a periodic basis
• Ability to maintain a professional image (e.g., demeanor, confidentiality, humbleness, maturity and confidence)
• Ability to work independently and as part of a team
• Ability to use business desktop applications (i.e., Microsoft Word, Excel, Outlook)
• Ability to solve routine problems of limited complexity, follow established policies and procedures, and communicate complex matters and other difficulties to the supervisor
• Solid analytical skills
• Strong attention to detail
Licenses and Certifications
A professional accounting or auditing designation (e.g., CPA, CA, CIA, CFIRS/CTA, CISA) a plus
• Strong attention to detail
• Strong analytical skills
• Ability to document and analyze audit testing of controls are implemented to appropriately mitigate
• Good understanding of industry & financial markets and ability to make decisions and form conclusions based upon observed results
NOTE: The above statements are intended to describe the general nature and level of work being performed by incumbents. They are not intended to be an exhaustive list of all responsibilities, duties and skills required by all incumbents. Incumbents may perform other duties as assigned. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Management retains the right to add to or change the duties of the position at any time.
Work Timings: 2:00pm IST to 11:00PM IST
We rely on attracting and retaining employees of exceptional quality. In addition, we work to instill a performance driven culture that reinforces accountability, innovation, and professional development. To reach these goals, Franklin Templeton Investments provides a comprehensive employment program that comprises a balanced work/life philosophy, competitive salaries and substantial employee benefits and services, including:
- Professional development growth opportunities through in-house classes and over 150 Web-based training courses
- An educational assistance program to financially help employees seeking continuing education
- Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee’s dependents (spouses, children and dependent parents)
- Life insurance for protection of employees’ families
- Personal accident insurance for protection of employees and their families
- Personal loan assistance
- Employee Stock Investment Plan (ESIP)