Senior Compliance Manager-Compliance Testing

3 weeks ago


mumbai, India IDFC FIRST Bank Full time

Role Job Title : Senior Compliance Manager – Compliance Testing

Function Department:  Compliance

Job Purpose:

Responsibilities typically include designing testing strategies, conducting reviews, analysing data, preparing reports, continuous engagement with stakeholders to ensure suitable corrective action. Strong knowledge of banking regulations, good communication skills, and the ability to manage a team are key attributes required necessary for this role.

Roles & Responsibilities:

Preparation of Annual Compliance Testing Plan. Carry out Compliance Testing for underlying functions as per the Annual Compliance Testing Plan. Carry out a review for new products launched by the Bank on completion of 6 months of launch. Carry out the testing of assigned branches. Prepare draft observations and discuss with the concerned stakeholders and obtain Management Responses. Work with relevant stakeholders to ensure timely closure of actions.  Maintaining MIS of open observations tracker along with ageing and due dates.  Support in preparation of MIS for presentation in various Committees. To ensure that the team is adhering to the plan and scope coverage is adequate. To review the observations raised by the team and work with stakeholders on devising an action plan.  Engaging with the team closely and guiding them to deliver them effectively. Any other work incidental to the role.

Education Qualification:

Graduation: Any Graduate

Post Graduation: Any Post Graduate

Professional Qualification/Certification: Any Professional Degree

Experience:  5 – 10 years of relevant experience in compliance testing. 



  • Mumbai, India IDFC FIRST Bank Full time

    Role Job Title: Senior Compliance Manager – Compliance TestingFunction Department:ComplianceJob Purpose:Responsibilities typically include designing testing strategies, conducting reviews, analysing data, preparing reports, continuous engagement with stakeholders to ensure suitable corrective action. Strong knowledge of banking regulations, good...


  • Mumbai, India IDFC FIRST Bank Full time

    Role Job Title : Senior Compliance Manager – Compliance Testing Function Department:  Compliance Job Purpose: Responsibilities typically include designing testing strategies, conducting reviews, analysing data, preparing reports, continuous engagement with stakeholders to ensure suitable corrective action. Strong knowledge of banking regulations,...


  • mumbai, India IDFC FIRST Bank Full time

    Role Job Title : Senior Compliance Manager – Compliance Testing Function Department:  Compliance Job Purpose: Responsibilities typically include designing testing strategies, conducting reviews, analysing data, preparing reports, continuous engagement with stakeholders to ensure suitable corrective action. Strong knowledge of banking...


  • Mumbai, Maharashtra, India IDFC FIRST Bank Full time

    Role Job Title : Senior Compliance Manager – Compliance Testing Function Department: Compliance Job Purpose: Responsibilities typically include designing testing strategies, conducting reviews, analysing data, preparing reports, continuous engagement with stakeholders to ensure suitable corrective action. Strong knowledge of banking...


  • Mumbai, India IDFC FIRST Bank Full time

    Role Job Title : Senior Compliance Manager – Compliance Testing Function Department:  Compliance Job Purpose: Responsibilities typically include designing testing strategies, conducting reviews, analysing data, preparing reports, continuous engagement with stakeholders to ensure suitable corrective action. Strong knowledge of banking regulations,...


  • Mumbai, India Deutsche Bank Full time

    **Job Title: CAO - Senior Regulatory Control Advisor, APAC** **Corporate Title: VP** **Location: Mumbai** **Role Description**: Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”)...


  • Mumbai, India 9478 Deutsche India Private Limited Full time

    Description:Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of the...


  • Mumbai, Maharashtra, India 9478 Deutsche India Private Limited Full time

    :Deutsche Bank AG (the "Bank") has established the Controls Testing & Assurance department ("CT&A") as an independent function, reporting to the Chief Administrative Officer ("CAO"). The Compliance Testing ("CT") team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of the businesses' control environment...


  • Mumbai, India 9478 Deutsche India Private Limited Full time

    Description : Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of the...


  • Mumbai, Maharashtra, India 9478 Deutsche India Private Limited Full time

    Description : Deutsche Bank AG (the "Bank") has established the Controls Testing & Assurance department ("CT&A") as an independent function, reporting to the Chief Administrative Officer ("CAO"). The Compliance Testing ("CT") team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of the businesses'...


  • mumbai, India 9478 Deutsche India Private Limited Full time

    Description : Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of...


  • Mumbai, India 9478 Deutsche India Private Limited Full time

    Description : Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of the...


  • mumbai, India 9478 Deutsche India Private Limited Full time

    Description : Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of...


  • Mumbai, Maharashtra, India Deutsche Bank Full time

    **Compliance Testing Officer**: **Job ID**:R0331338**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-05-02**Location**:Mumbai**Position Overview**: **In Scope of Position based Promotions (INTERNAL only)** **Job Tit **le**:Assistant Vice President, Control Testing & Assurance - Testing Specialist** **Corporate Title: Assistant Vice...


  • Mumbai, Maharashtra, India Deutsche Bank Full time

    **Compliance Testing Officer**: **Job ID**:R0331338**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-05-02**Location**:Mumbai**Position Overview**: **In Scope of Position based Promotions (INTERNAL only)** **Job Tit **le**:Assistant Vice President, Control Testing & Assurance - Testing Specialist** **Corporate Title: Assistant Vice...

  • Senior Manager

    2 weeks ago


    Mumbai, India Tata AIA Life Insurance Full time

    A Position OverviewPosition TitleSenior Manager - ComplianceDepartmentComplianceLevel/Band501LocationMumbaiRole Summary:Partnering with business to comply laws, regulations, initiatives and distribution tie-ups smoothly.Drive Implementation of various notifications from Authorities by coordinating with various teams and ensure timely...

  • Compliance Hub

    1 week ago


    Mumbai, Maharashtra, India RiverForest Connections Private Limited Full time

    Compliance Officer - Senior Associate/ Assistant Manager.Position PurposePart of Compliance hub, the resource performs periodical testing checks on both the Compliance APAC function and APAC Business lines to ensure the efficacy of APAC Compliance control framework across all Compliance Domains with a focus on Financial Security.This role aims as acting as...

  • Senior Manager

    2 months ago


    Mumbai, India Tata AIA Life Insurance Full time

    A Position Overview Position Title Senior Manager - Compliance Department Compliance Level/Band 501 Location Mumbai Role Summary:    Partnering with business to comply laws, regulations, initiatives and distribution tie-ups smoothly. Drive Implementation of various notifications from Authorities by coordinating with...

  • Senior Manager

    3 weeks ago


    Mumbai, India Tata AIA Life Insurance Full time

    A Position Overview Position Title Senior Manager - Compliance Department Compliance Level/Band 501 Location Mumbai Role Summary:    Partnering with business to comply laws, regulations, initiatives and distribution tie-ups smoothly. Drive Implementation of various notifications from Authorities by coordinating with...

  • Senior Manager

    3 weeks ago


    mumbai, India Tata AIA Life Insurance Full time

    A Position Overview Position Title Senior Manager - Compliance Department Compliance Level/Band 501 Location Mumbai Role Summary:    Partnering with business to comply laws, regulations, initiatives and distribution tie-ups smoothly. Drive Implementation of various notifications from Authorities by...