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Infosys Consulting · 1 week ago

Principal/ Sr. Consultant - 2 LOD - Compliance Testing/ Monitoring

NYC Metro Area

Full-time

Onsite

Senior Level, Lead/Staff

8+ years exp

Infosys Consulting is a global leader in technology services and consulting, seeking a Principal/Sr. Consultant focused on the Second Line of Defense (2LOD) in compliance testing and monitoring. The role involves leading engagements, managing teams, and providing strategic oversight to ensure effective risk management and regulatory compliance within financial services.

ConsultingHuman ResourcesInformation Technology

No H1B

Hiring Manager

Jose Cruz

Responsibilities

Play a lead role in delivery of large change programs, which includes IT and Business Change

Lead and manage a team of consultants to develop concise and practical strategies, roadmap and/or re-engineering program recommendations with a clear implementation path

Seek out client input in a structured manner to better understand needs and develop ideas for how to meet those needs

On client engagements, provide independent oversight and credible challenge to first-line activities across operational, regulatory, and conduct risks

Design, lead or support Control Risk Assessments (CRAs), including assessment, analysis, and remediation oversight

Assist clients in designing and conducting compliance monitoring programs to ensure adherence to internal policies and regulatory requirements

Design and execute compliance testing and control effectiveness reviews, identifying gaps and recommending corrective actions

Conduct interviews / workshops / walkthroughs with subject matter experts and process owners to elicit and document requirements to identify, assess, and monitor key risks, ensuring alignment with enterprise risk appetite

Design, review, assess, programs for risk and control self-assessments (RCSAs), KRIs, and control frameworks

Advise senior management on emerging risks, control gaps, and regulatory developments

Collaborate with audit, compliance, and enterprise risk teams to maintain a cohesive 3LOD model

Assist in standing up initiatives for risk culture, training, and awareness programs across the organization

Support the design and continuous improvement of risk frameworks, governance structures, and policies

Direct teams of global consulting, IT professionals & subject matter experts in establishing comprehensive business and functional requirements, then translating those requirements into actionable project initiatives with associated metrics

Play a key liaison and coordinator between the business, IT, senior management, vendor teams and other members of the change programs

Collaborate with client functions (Business, first line of defense, Compliance Risk Management and Regulatory Affairs) to assess impact of a specific regulation on existing policies, risks and controls

Collaborate with cross-functional teams across the client organization and Infosys on regulatory change programs and initiatives

Manage end-to-end project execution, stakeholder communication and minimize engagement risk by proactively identifying issues and recommending courses of remediation

Provide insights on new and emerging technologies, best practices and contribute to the development of service offerings

Work with other practice members to support Infosys Consulting thought leadership activities and develop innovative assets, including differentiated points of view and methodologies

Build social networks that enable knowledge and information flow and stay abreast of developments in 2LOD areas

Prepare thought papers and participate in industry conferences and forums

Contribute to practice growth and vitality through roles such as recruitment, training and retention

Coach and develop junior team members to deliver quality results and promote professional development

Participate in and contribute to practice training activities

Lead small, medium sized sales pursuits and business development activities ranging from creation of client proposals to formulating commercial constructs / contracts

Develop and build relationships at senior management and CXO levels

Formulate and present Infosys Consulting propositions and service offerings

Qualification

Second Line of DefenseCompliance TestingCompliance MonitoringRisk ManagementControl Risk AssessmentsRegulatory FrameworksRiskControl FrameworksAnalytical SkillsBusiness DevelopmentCommunication SkillsTeam LeadershipPresentation Skills

Required

8–15 years of experience in risk management, compliance, or control functions within financial services

Strong understanding of Second Line of Defense roles, including oversight, governance, challenge, and policy enforcement

Hands-on experience with CRAs, compliance monitoring, and compliance testing

Proven ability to engage with business leaders, influencing risk-taking behavior while maintaining commercial perspective

Knowledge of regulatory frameworks (e.g., OCC, PRA, MAS, SEC, or local equivalents) and ability to interpret requirements for business application

Experience in designing, implementing, and improving risk and control frameworks

Strong analytical, reporting, and communication skills to present risk insights to senior stakeholders

Bachelor's degree or foreign equivalent; or three years of relevant work experience in lieu of every year of education

Demonstrated ability in defining, mobilising and delivering complex change programs in large organisations

Strong background of leading teams, comprising both IT and business specialists

A demonstrable ability to turn business requirements into technology solutions with the commercial acumen to create supporting business cases

Excellent presentation and facilitation skills with ability to build relationships at senior management and CXO levels

Successful business development history including exposure to each of the various aspects of a typical sales cycle

All candidates must be willing and able to travel up to 100%, depending on client requirements

U.S. citizens and those authorized to work in the U.S. are encouraged to apply. We are unable to sponsor at this time

Live to within 2 hours' drive time or be willing to relocate to one of the following Infosys hub offices - Atlanta, GA; Boston, MA; Chicago, IL; Dallas, TX; Houston, TX; Bridgewater, NJ; New York City, NY; San Francisco, CA; Seattle, WA