Compliance Specialist

3 days ago


Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000

Compliance Specialist Role

  • We are seeking an experienced Compliance Specialist to lead our compliance testing program. The ideal candidate will have a strong background in regulatory requirements and experience with internal controls.
Key Responsibilities:
  • Design and implement a comprehensive compliance testing program to assess adherence to regulatory requirements.
  • Perform independent testing and review of internal controls to ensure compliance with applicable RBI regulations.
  • Document findings from compliance testing, prepare reports, and communicate results to senior management and the board.
  • Conduct regular reviews to ensure compliance with all applicable RBI regulations.
  • Identify, assess, and monitor compliance, bribery, and fraud risks across all functions and departments in the organization.
  • Regularly assess the adequacy of risk mitigating controls designed and recommend enhancements where necessary.
  • Perform control testing for Anti-Bribery and Anti-Corruption (ABAC) Policies and come up with internal control gaps.
  • Track whistleblower complaints, monitor ongoing cases of fraud.
  • Draft, review, and update key policies and procedures related to RBI regulations and ABAC.
  • Develop and maintain a compliance checklist, manuals, and other regulatory documentation for continuous monitoring.
  • Regularly monitor changes in regulatory guidelines from RBI, IRDA, and US D.O.J and update compliance processes accordingly.
  • Draft training material content on key RBI and ABAC policies.
  • Collaborate with cross-functional teams to facilitate the implementation of compliance requirements.
Qualifications:
  • Candidate should be a CA with 4-7 years of experience.
Location:

Andheri

About Us:

We are a leading financial institution looking for a talented individual to join our team as a Compliance Specialist. This is a great opportunity to work with a dynamic team and contribute to the growth and success of our organization.

Please submit your resume and cover letter to apply for this exciting role.



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