Controls Monitoring Manager(Advisor)

Controls Monitoring Manager(Advisor)

Fiserv India Private Limited
Not Specified
Not Specified

Job Description

This individual will work collaboratively with other members of ERCC team members, Line of Business and corporate support group stakeholders to undertake the following:
Governance / Risk Management
  • Preparation of governance packs.
  • Prepare the enterprise risk metrics for governance forums.
  • Take ownership for the tracking of the outstanding Controls Issues / Management Action Plans & their due dates, and undertake follow up efforts.

Controls & Audit
  • Develop and implement the control & testing program for APAC, and provide suggestions for ongoing improvement.
  • Direct, supervise and perform the control testing program for APAC processes.
  • Drive the closure of audit items for APAC region.
  • Undertaking ABC assessments / KYC of partners and vendors - both at the time of onboarding and on an annual basis.
  • Assist in the process of the Audit activity conducted on Fiserv by Clients.

  • Supervise and perform sample KYC testing of complex merchants across APAC- basic steps such as ordering up to date company searches and comparing to existing data on file requests and follow up to clients to provided updated KYC documents.
  • Supervise and clear alerts pertaining to Politically Exposed Persons (PEPs).
  • Understanding the Fiserv standards for onboarding of Partners & Complex Merchants and leading the conduct of Partner Audits covering KYC / AML requirements.
  • Assist Country Compliance teams in undertaking bespoke activities in relation to AML / KYC.

Routine Tasks
Supervising completion of the below tasks:
  • Regulatory calendar monitoring - sending reminders and obtaining confirmation that items due have been completed by relevant stakeholders.
  • BCP/DR sign off of processes assigned to the Regional Control officer.
  • Project management of regulatory requirements under relevant APAC regimes e.g. Singapore.
  • Follow up with associates / their manager for completion of mandatory training.
  • Assist in the preparation of responses for RFP's and Questionnaires based on standard template responses prepared or shared by Regional Control Officers.

Team Management
  • Assign tasks, supervise and keep engaged the team of Control Monitoring Specialists.
  • Provide real-team coaching to members of the team to further develop their control monitoring skills.

Perform other duties and special projects as required.

Job Details

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