Manager - compliance testing

Testing Framework Assist in preparing annual compliance testing plan for senior management Review and Track monthly & quarterly plans/scope and update senior compliance leadership on progress Provide detailed report to Compliance senior management on a regular basis of the review conducted in a month and critical gaps identified during the review along with status Regulatory Compliance Review the testing checklists required for the review for each regulated business Review loan book, regulatory returns and other information submitted to RBI / NHB Develop solutions to address specific challenges faced by the business units in regulatory compliance matters including impact assessments Business, Policies & Processes Develop a comprehensive understanding of Company's business, systems, Policies and processes. Acquire in-depth process understanding for planned audits, including processes, systems involved, data flow, and datasets. Formulate queries, lead process walkthroughs with key business stakeholders and document the outcome with thorough identification of risks and controls. Drives and understand root cause of the observations and ensure implantation of corrective actions. Co-ordinate/Collaborate with various verticals such as Compliance, Credit, CX, Ops, Product and tech teams for ensuring overall compliance framework Systems/Journeys Assess the loan journeys, internal tech journeys and developments to ensure adherence to regulatory guidelines and internal policies/processes Identification, Reporting and Mitigation of Compliance Risks Carry out Annual Compliance Risk assessment and mitigation actions Assist the Compliance leadership in providing updates to senior management on the critical compliance issues for immediate attention and escalations Regulatory Inspections/Audits Provide constant support during regulatory inspections To act as a bridge between Internal Audit/Regulators and Business to follow up on IA recommended action closures by business units Team Management

Lead compliance testing team

Qualification

Essential – CA / CS / CIA / MBA Finance

Preferred – CA/CS