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Assurance Manager

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  • Banking & Finance
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Job Details

KEY RESPONSIBILITIES1. Embedding the Process Assurance Frame work The role holder would be responsible to regularly review and provide assurance with respect to the below stated- That the Sales Processes are in line with the Sales Manual.- Regulatory, Operational Risks and Group Policies are enforced across the business units.- Consistency of Organisation design across all sales units.- Ensuring all sales units have documented and standardized Sales Operating Procedures. Standardized HR standards and policies approved by Legal and Compliance have been implemented across all the business units. This would involve having a consistent recruitment, training, performance management, reward and recognition policies.- Defining the MIS criteria and parameters for all sales units and the periodicity of tracking the same.- Ensuring standardized process and templates are followed for all Client Experience MIS i.e. Compliant capturing, Misselling, call back processes etc.- To work with the UORM Client Acquisition in ensuring rewards /penalties system are implemented based on SQ performance and also in embedding TCF.2. Health and safety The role holder would be responsible for providing feedback to the Central Team with respect to on site conditions of Premises vis- -vis the Health and Safety guidelines. This would require- Check for implementation of minimum Health and Safety Standards across premises.- Raising any issues or gaps to the UORM Client Acquisition- Guide the sales teams to implement the H & S standards.3. Sales Reviews The role holder would be responsible for initiating reviews. This would involve- Building a Review tracker for the entire year for all units.- Ensure all stakeholders involved in the review are well informed and the reviews are conducted as per the guidelines.- Audits The role holder would be required to conduct surprise audits to check for implementation of the process assurance framework and raise areas of concern to the Central office.- Participate in the investigation / review of negative operational risk exposure (internal and external) as it arises.- Identify new, thematic and potential risks. Providing operational risk and Governance advice through OR processes and adhoc reviews (Accountability reviews, Lessons Learnt reviews) at the unit level or participating in reviews driven by Group Business level based on thematic issues.- To adhere to the Gifts & Entertainment policy.- Responsible for Health, Safety & Environment responsibilities as laid out in the HSE Management System.- The job holder must ensure he/she is fully aware of all the policies and procedures issued in relation to money laundering prevention / CDD and is trained on the same. He/she must ensure compliance with these policies and procedures on an ongoing basis. Any suspicious transaction must immediately be reported to the supervising officer / Line Manager. To ensure adherence on an ongoing basis to all requirements of CDD / ML as may be issued from time to time and adherence would be measured with respect to outcome of Group audits and any Assurance Reviews conducted." KEY MEASURABLES Non compliance and control weaknesses inherent in the selected samples are detected and duly reported Maintaining robust controls and monitoring actions. Conduct risk based reviews and provide accurate and timely feedback to the units and central office.KEY RELATIONSHIPS- Sales / Business Managers- Central Assurance team.- Policy and process team.
Degree: CA (Chartered Accountant)

Additional Degree: BA (Arts) | B.Com. (Commerce) | B.Pharm. (Pharmacy) | B.Plan. (Planning) | B.Sc. (Science) | BBA/ BBM/ BBS | BCA (Computer Application) | Diploma-Other Diploma | B.Ed. (Education) | BHM (Hotel Management)

Experience: 5-7


Accounting/Financial Products | Client Servicing | Direct/Commission Sales | Retail Sales
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