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Senior Vice President @ Bharat Financial Inclusion Ltd | IIM Calcutta | Risk Based Internal Audit | Enterprise Risk Management | Regulatory compliance expert | Fintech | Microfinance | Banking | CISA | CAIIB | MBA
#Ethical #Standards for Internal #auditors Every internal auditor should follow the below #code of #ethics to become #successful in their #career. ☑ #Integrity: Internal auditors are expected to perform their work with #honesty, #diligence, and #responsibility. ☑ #Objectivity: Internal auditors must be #fair, #unbiased, and #impartial in their judgments and decisions. ☑ #Confidentiality: Internal auditors are required to respect the confidentiality of #information they receive during the course of their #work and should not #disclose such information without proper #authority unless there is a legal or #professional obligation to do so. ☑ #Competency: Internal auditors are expected to apply the #knowledge, skills, and #experience needed in the performance of their duties. They should continually improve their #proficiency and #effectiveness.
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It's #talentthursday and today we're focusing on some of the things you should look for in a legal and compliance auditor: Educational Background: - Do they have background relevant to compliance in your industry? Certifications: - Do they have certificates relevant to your industry and needs? - Some more general examples are Certified Internal Auditor (CIA), Certified Compliance & Ethics Professional (CCEP), or Certified Information Systems Auditor (CISA), while some industry-specific examples are a Certified Bank Auditor (CBA) for the banking sector, or Certified Healthcare Compliance (CHC) for healthcare Experience: - Do they have extensive auditing experience? And does that experience lend itself well to your industry and business? Legal Knowledge: - Do they have a solid understanding of the legal and regulatory environment relevant to your business, including international, federal, and state laws? Skillset: - Do they have strong analytical skills, communication skills, and the ability to remain skeptical and objective? - Do they exhibit attention to detail and technical proficiency? Integrity and Ethics: - Do they possess integrity and exemplary ethics? Of course, many of these traits apply to any auditor, but when it comes to compliance, the stakes can be quite high! Any questions? Please reach out and let us know! #Audit #Compliance #Legal #Qualifications
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Let’s get down to the nitty gritty of the role of a Compliance Officer!🧐 ⭐ Compliance Officers play a crucial role within financial services and are responsible for ensuring an organisation adheres to regulations and internal policies. Getting it right is an important step to get you to that next phase! Find out in depth information on our Role Profile page, including: ✔ What the role entails ✔ Skills and qualifications required ✔ Typical salaries ✔ Where to find vacancies ✔ Real-life day in the life of videos 💻 Check out our Compliance Officer Role Profile page in the link in comments! #btscareerszone #careerszone #bespoketrainingsolutions #recruitment #roleprofile #compliance #complianceofficer #complianceofficers #complianceofficerday #complianceofficerjobs #complianceofficersupport
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Are you an experienced Compliance Professional looking to explore new opportunities? Phoenix Search will be holding an open day next Thursday the 16th of November for Compliance Professionals looking to hear more about their opportunities for career progression. If you are interested in booking a slot to discuss the market and your options further, please feel free to reach out to me directly at jamief@phoenixsearch.com #compliance #compliancejobs #jobadvice #jobsearch #compliancemanagement #Phoenixsearch
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When you're deep in the world of compliance and suddenly realize... documentation is everything! 📝😂 Compliance Analyst: "I was told there would be documentation." 📂🧐 Team: "Documentation? Oh, you mean the lifeblood of our profession, the reason we have coffee ☕, and the thing that makes us all feel like Milton from Office Space sometimes! 😅" But in all seriousness, whether you're ensuring regulatory compliance ✅, managing contracts 📑, or optimizing operational processes 🔄, documentation is key to keeping everything running smoothly. Let's give a shoutout 👏 to all the compliance professionals out there who keep the paperwork in order 🗂️. #Compliance #Documentation #RiskManagement #WorkLife #ComplianceHumor #Audit #OfficeSpaceMemes #HRCompliance #JobSearch #JobHunt #CorporateHumor
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As compliance officers, we spend a lot of time focused on how others are performing their jobs. Being self-aware about how we are performing ours though is paramount for an effective compliance program. Below are some key questions that will improve your self-awareness about the performance of the compliance program. 𝐏𝐨𝐥𝐢𝐜𝐢𝐞𝐬: Are my policies easy to read and understand? Are they cumbersome to navigate? 𝐂𝐨𝐦𝐩𝐥𝐢𝐚𝐧𝐜𝐞 𝐎𝐟𝐟𝐢𝐜𝐞𝐫: Am I physically present in my organization such that people know I exist, or am I hiding behind my keyboard? Am I getting to know others in the organization? 𝐂𝐨𝐦𝐩𝐥𝐢𝐚𝐧𝐜𝐞 𝐂𝐨𝐦𝐦𝐢𝐭𝐭𝐞𝐞: Are my leaders aware of our compliance committee and who is on the committee? Do they understand the role of the committee? Do the committee members understand their role and obligations? 𝐄𝐝𝐮𝐜𝐚𝐭𝐢𝐨𝐧 & 𝐓𝐫𝐚𝐢𝐧𝐢𝐧𝐠: Have I done enough training with our staff about _____ requirement? Am I clear with my audience about what I expect of them? 𝐎𝐩𝐞𝐧 𝐋𝐢𝐧𝐞𝐬 𝐨𝐟 𝐂𝐨𝐦𝐦𝐮𝐧𝐢𝐜𝐚𝐭𝐢𝐨𝐧: Have I communicated with my audience about how to report issues? Have I educated them about how the hotline process works? 𝐈𝐧𝐯𝐞𝐬𝐭𝐢𝐠𝐚𝐭𝐢𝐨𝐧𝐬: Has my investigation about ______ been thoroughly conducted? Can I defend my work product to a government agency? 𝐀𝐮𝐝𝐢𝐭𝐢𝐧𝐠: Am I communicating with those I’m auditing? Do they understand my expectations? Do I understand how they are performing the work being audited? 𝐌𝐨𝐧𝐢𝐭𝐨𝐫𝐢𝐧𝐠: Has my audience been given a reasonable amount of education and training about the requirements I’m monitoring them against? By prioritizing self-awareness, you can build stronger relationships with others in the organization, obtain buy-in, and enhance the effectiveness of your compliance program. I hope you have a great Tuesday. Jay PS-If you know someone who may benefit from this information, please feel free to pass it along to them. #compliance #complianceofficer #healthcarecompliance #changetheperception
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Offering bespoke compliance advice, support and training for financial services businesses 💰 I Co-Founder of Kana Consult I Compliance leader/SMF16/ Director 💼
Creating a successful compliance team starts with your job descriptions. Here’s why 👇🏼 You need to make it clear what you need people to do from the offset. I’ve seen this happen way too many times… - Businesses put out vague job descriptions. - They expect compliance professionals to be able to do it all. - The job isn’t what the candidate expected and they leave the business. If you want a compliance professional to: - Help build your governance, make sure that's in the job description. - Create risk frameworks, make sure that's in the job description. - Deal with complaints, make sure that's in the job description. And if you go through recruiters, make sure you make it clear to them what you need your compliance professionals to do. It will make your life easier and set up your compliance function for success.
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#hiring *Regulatory Compliance Consultant - Intern (2024)*, Chicago, *United States*, fulltime #jobs #jobseekers #careers #Chicagojobs #Illinoisjobs #ConsultingCorporateStrategy *Apply*: https://lnkd.in/grA_KaS3 Regulatory Compliance Consultant - Intern (Summer 2024) Make your mark. Our Regulatory Compliance team (part of Risk and Accounting Advisory Services) focuses on our clients' critical business needs. From Bank Secrecy Act reviews to compliance management and everything in between, our integrated solution approach is designed to help enable and manage growth, leverage resources, and mitigate costs and risks. At Plante Moran, we have a privilege of serving clients and providing consultative services as they face challenges and seek new opportunities.What does diversity, equity, and inclusion mean to Plante Moran? It means that all staff members have equitable and fair opportunities to succeed, in an inclusive environment, with their individual, unique identities.What makes us different?On the surface, we're one of the nation's largest audit, tax, consulting, and wealth management firms. But dig a little deeper, and you'll see what makes us different: we're a relatively jerk-free firm (hey, nobody 's perfect) with a world-class culture and an endless array of opportunities.We're consistently recognized as one of Fortune magazine's "100 Best Companies to Work For, Best Companies in Consulting and Professional Services," "Best Workplaces for Women," and "Best Workplaces for Parents" - distinctions awarded to us based on confidential feedback from our staff. And we live out our "We care" culture everyday-we care about our staff, clients, and communities-with one of the lowest staff turnovers in our industry.So,what are you waiting for? Apply now. Job Responsibilities Your role.As you venture into figuring out how federal compliance requirements impact the clients we serve, we'll give you the flexibility to combine critical thinking with teamwork to serve our clients. Your work will include, but not be limited to:Providing reporting assistance and analysis for engagements.Documenting and testing client regulatory compliance processes.Identifying and analyzing potential risks and risk mitigation strategies.Preparing proposals and engagement letters.Producing reports and presentations that outline findings, explaining risks and recommending changes.Working with multiple clients, multi-tasking with clients and engagements.Meeting deadlines and developing final documentation within tight time frames. Qualifications Detail-oriented leader with problem solving, communication, organizational, technical and analytical skills.Pursuing a bachelor's degree in pre-law, banking, business, economics, finance, or related field.Academic success (a minimum cumulative GPA of 3.0). How to Apply Please apply for this position through Plante Moran's online application. Please reference
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Job Alert! We've got the latest job openings in Compliance Officer! Check out this exciting opportunity and apply now! #complianceofficer #consultancy #ChangeManagement #corporatestrategy #changemanager #smeconsulting #executivecoaching #businessinsider #FutureOfWork
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is it correct to be Chief Internal Auditor and Compliance Officer at the same time?
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