Compliance Testing Officer

**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”)...

Job Description Objective The incumbent would be primarily responsible for conducting Compliance reviews of Bank's functions and new products to give reasonable assurance to the Management regarding compliance with regulatory norms. Responsibilities Preparation of Compliance Review plan to be put up to the Board. Preparation and updating of Compliance review...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent testing activities (testing and on-going...

Job Description Compliance Management Framework & Governance - Develop, implement, and maintain a comprehensive compliance program aligned with RBI's guidelines, Basel standard, and applicable regulations. - Establish and regularly update compliance P&P, standard and controls tailored to the branch's risk profile and business model. - Report to management...

Compliance Testing ManagerReporting toLead Compliance TestingObjectiveThe incumbent would be primarily responsible for conducting Compliance reviews of Bank's functions and new products to give reasonable assurance to the Management regarding compliance with regulatory norms.ResponsibilitiesAssistance in preparation of Compliance Review plan to be put up to...

Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...

SECTION II: ROLE SUMMARYThe role holder is responsible for ensuring that Compliance Testing are conducted in line with Annual Compliance Testing Plan approved by Audit Committee of the Board (ACB).SECTION III: KEY RESPONSIBILITIES/ ACCOUNTABILITIESStrategic/ Managerial Responsibilities Designing, delivering, and maintaining best-in-class Compliance...

Position Name - Compliance Officer - PMSLocation - BKC,MumbaiExperience Range - 5+ yrsMandatory Requirement:Manage Compliance aspects of Portfolio Management Services.Job Roles and Responsibilities:Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws.Monitor and implement changes in SEBI circulars, PMS regulatory...

Job Title: Compliance Testing Manager Department: Compliance Location: Mumbai Reporting To: Senior Compliance Manager Positions : 1 Job 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...

Job Title: Compliance Testing Manager Department: Compliance Location: Mumbai Reporting To: Senior Compliance Manager Positions : 1 Job 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...