Compliance Testing Manager

4 days ago

Mumbai Maharashtra India, Maharashtra Saraswat Bank Full time

Job Title: Compliance Testing ManagerDepartment: ComplianceLocation: MumbaiReporting To: Senior Compliance Manager Positions : 1Job Purpose:To ensure the bank's operations, products, and services comply with applicable regulatory requirements through structured compliance testing. The role involves planning, executing, and reporting on compliance testing activities, identifying gaps, and recommending corrective actions.Key Responsibilities:Compliance Testing Execution:Develop and implement the annual compliance testing plan.Conduct compliance reviews across business units, branches, and new products.Perform control testing to assess adherence to regulatory and internal standards.Reporting & Documentation:Draft detailed testing reports with observations and management responses.Maintain MIS and dashboards for open issues, aging, and resolution timelines.Present findings to senior management and compliance committees.Stakeholder Engagement:Collaborate with business units to ensure timely closure of compliance gaps.Guide teams on remediation plans and monitor progress.Regulatory Monitoring:Stay updated on regulatory changes and assess their impact on testing scope.Support in updating testing methodologies and frameworks accordingly.Team Collaboration:Work closely with various teams. Mentor junior compliance staff and support cross-functional initiatives.Qualifications & Experience:Bachelor’s degree in Finance, Business Administration, or related field.5–8 years of experience in compliance testing, auditing, or risk management within the banking sector.Strong understanding of RBI guidelines, AML/KYC norms, and other banking regulations.Professional certifications like CCEP, CRCM, or ICA (preferred).Skills Required:Regulatory knowledge and interpretationRisk-based testing methodologyAnalytical and problem-solving skillsStrong communication and report writingStakeholder managementAttention to detail and organizational skillsPreferred Attributes:Experience in IT/ISG compliance testing is a plus.Ability to work independently and manage multiple testing engagements.Proactive approach to identifying and mitigating compliance risks.

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