Lead - Compliance

3 days ago

Pune, Maharashtra, India Bajaj Finance Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Job Purpose

Compliance testing Lead a team for Compliance testing of various products and processes.

- Develop a compliance testing plan, determine scope & testing methodology, lead a team for execution, discuss & obtain responses with action plan and present the results to Senior Management.

Duties and Responsibilities

Compliance testing and product reviews

Compliance Function plays a central role in identifying the level of Compliance risk in the organisation.
- The compliance function comprises of Regulatory correspondence team, Advisory team and Compliance Monitoring & Testing (CMT) team.
- The incumbent will principally be accountable to lead the CMT team.
- The CMT team is responsible for testing and evaluating the effectiveness of internal controls, policies, procedures, and processes designed to meet regulatory requirements.
- Key Responsibilities:
- Build an annual plan for Compliance testing reviews of various products and processes considering regulatory risks and feedback from Senior Management.
- Develop testing procedures and train the team to carry out such procedures.
- Determine scope and lead a team to perform compliance testing.
- Discuss the results with Business Heads and provide recommendations as necessary
- Obtain responses with action plan and timelines.
- Present the results to Senior Management.
- Track actionables for appropriate closure.

Key Decisions / Dimensions
- Specific area prioritization during field work in terms of what areas to focus on and what testing approach to be used.
- Deciding the approach for data analysis; what sample size to take and how to analyse the data.

Major Challenges

- BFL is a fast-paced growing organization with almost 90 + products.
- The business processes are changing at a very fast pace, so it is important to keep oneself updated and in fact, try to think ahead of the business.
- The compliance requirements are complex and ever evolving hence the need for constant learning and keeping updated of industry developments

Required Qualifications and Experience

Educational Qualifications

- CA /MBA Fin with 0-3 years of experience
- Understanding of business processes and regulatory requirements
- Analytical and communicating skills
- Ability to learn and implement at a fast pace

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