Compliance Assurance

5 days ago

Mumbai Metropolitan Region, India Kotak Mahindra Bank Full time

Role: To lead and execute a robust compliance assurance program across business units, ensuring adherence to regulatory requirements and internal policies / processes. The role involves testing of regulatory obligations, reporting and tracking, to strengthen the compliance framework and mitigate regulatory risks. Key Responsibilities Execute and ensure timely delivery of Compliance Reviews, including Branch Reviews as per the review plan approved by ACB aligned with RBI and other regulatory guidelines. Conduct RBS Tranche III Testing as per RBI’s Risk-Based Supervision guidelines. Create new system rules for automating testing of regulatory obligations on a continuous basis and analyse the exceptions. Integrate data analytics and automation tools for enhanced testing efficiency. Carry out detailed reviews of processes, products, and systems to identify gaps and recommend corrective actions. Perform sample checks, walkthroughs of processes, products and systems and control validations. Prepare Compliance Review Reports highlighting observations, root causes, and remediation plans. Present findings to Senior management and Audit Committee. Maintain centralized repository of testing results for regulatory and internal audits. Regulatory Alignment Stay updated on regulatory changes and incorporate them into testing programs. Liaise with regulators during inspections and audits, ensuring timely and accurate responses. Stakeholder Management Collaborate with business, operations, risk, internal audit and technology teams Provide advisory support on compliance matters and emerging risks. Additional Strategic Responsibilities Drive continuous improvement through automation, AI-driven analytics. Contribute to compliance risk assessment and annual compliance plan. Support training and awareness programs for business units on compliance observations. Qualifications & Experience Chartered Accountant / MBA / LLB or equivalent professional qualification. 6 – 8 years of experience in compliance, internal audit, or risk management within banking or financial services. Strong knowledge of RBI guidelines and other regulations. Skills & Competencies Strong analytical and problem-solving skills. Excellent communication and stakeholder management. Ability to work under pressure and manage multiple priorities. Proficiency in MS Office, compliance tools, and data analytics platforms. Familiarity with RegTech solutions and automation tools for compliance testing.

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