
Compliance Specialist
3 days ago
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.
- 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.
- Candidate should be a CA with 4-7 years of experience.
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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