Risk and Compliance Associate Manager
Designation: Risk and Compliance Associate Manager
Qualifications:Any Graduation
Years of Experience:10 to 14 years
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What would you do? Delivery Excellence Auditor (Operations Excellence / Governance & Controls Audit) The Delivery Excellence Auditor is responsible for assessing and improving delivery rigor across operations by auditing five core practices—Daily Governance, Capacity & SLA Management, Quality Framework, Knowledge & Capability Readiness, and Controls & Compliance. The role ensures teams follow defined operating rhythms, maintain audit-ready documentation, manage volume-to-capacity effectively, sustain quality governance, and demonstrate robust control execution with measurable closure of gaps. 1) Daily Governance & Performance Discipline Focus: Daily huddles, decision/RAID rigor, MoM, action tracking, escalation readiness 2) Capacity, Volume, Backlog & SLA Management Focus: Factory model, volume forecast, capacity planning, utilization/AHT, backlog/SLA risk controls 3) Quality Framework & Quality Governance Focus: Defined quality metrics, checkpoints, sampling/scoring, calibration, rebuttals, deviations, privacy in quality tools 4) Knowledge, Documentation & Capability Readiness Focus: SOP/DTP governance, PKT and refresher training, skill/cross-skill readiness, CTD/RCTD compliance 5) Controls, Compliance & Risk Mitigation (Operational Controls) Focus: Control plan governance, control execution evidence, automation opportunities, FMEA, CDP/SOX alignment, EVT/ATCAT/ACF/DMS adoption Audit and manage effective implementation and delivery of functional processes within operations to mitigate risk. e.g. Policies; Anticorruption, BCM, InfoSec, P104, Records Management and Contractor controls. Establish processes to audit/validate current control effectiveness and drive improvements wherever required.
What are we looking for? •Core Skills • Strong understanding of operations governance, delivery metrics, and performance management • Ability to audit and interpret volume, capacity, AHT, utilization, SLA metrics • Working knowledge of quality frameworks (sampling, scoring, calibration, CTQ, RCA) • Familiarity with controls & compliance concepts (control plans, SOX/CDP mapping basics, evidence) • Documentation governance expertise (SOP/DTP version control, approvals, repository discipline) Analytical & Tools • Advanced Excel/Sheets (pivoting, reconciliation), Power BI (good to have) • Strong documentation and reporting (audit-ready writing) • Comfort with dashboards, trackers, and operational tools (DMS/ACF/SQF type platforms) Behavioral • High attention to detail, strong skepticism with diplomacy • Stakeholder management across delivery and client interfaces • Ability to challenge non-compliance objectively and drive closure • 5–12 years experience in Operations, Business Transformations, Operations Excellence, Delivery Governance, Process Audit, Risk & Controls, or Quality Assurance (BPO/Shared Services/GBS). • Exposure to Service Delivery environments (SLA/KPI-based operations) strongly preferred. • Certifications (good to have): Lean Six Sigma (GB), ISO/Quality, Internal Auditor, Risk/Controls, or equivalent.
Roles and Responsibilities: •Audit Planning & Execution • Conduct scheduled and ad-hoc audits across delivery teams using defined checklists aligned to the 5 practices. • Perform artefact validation (RAID, MoM, trackers, reports, control evidence) for completeness, accuracy, and timeliness. • Test data integrity across reports (volume, SLA, quality, utilization/AHT) and identify inconsistencies. • Interview stakeholders (Agents/TLs/SDL/DL/SMEs) to validate process adherence vs. documentation. Findings, Reporting & Closure • Document audit observations with objective evidence, impacted process, severity/criticality, and risk description. • Create actionable corrective action plans (CAPA) with owners, timelines, and expected outcomes. • Track closure to completion and validate sustained compliance through re-audits. • Provide trend insights (recurring gaps, systemic root causes, best practices) and contribute to governance reviews. Continuous Improvement Enablement • Recommend improvements to governance cadence, tracker standardization, quality checkpoints, training readiness controls, and controls automation. • Partner with delivery leadership to design standard templates, dashboards, and escalation routines. • Drive preventive actions using RCA/FMEA where needed, ensuring linkage to controls and operational decisions. ________________________________________ Key Deliverables • Audit plan/calendar and audit checklists (aligned to 5 practices) • Audit reports (weekly/monthly) with evidence references • CAPA / action tracker with closure status • Compliance scorecards (governance, capacity/SLA, quality, training readiness, controls) • Trend analysis deck and best-practice playbook updates
Gurugram
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