Compliance Testing Manager

2 days ago

Mumbai, Maharashtra, India Saraswat Bank Full time ₹ 15,00,000 - ₹ 25,00,000 per year

Key Responsibilities:

  • Compliance Testing Execution:

  • Develop and implement the annual compliance testing plan.

  • Conduct compliance reviews across business units, branches, and new products.

  • Perform control testing to assess adherence to regulatory and internal standards.

  • Reporting & Documentation:

  • Draft detailed testing reports with observations and management responses.

  • Maintain MIS and dashboards for open issues, aging, and resolution timelines.

  • Present findings to senior management and compliance committees.

  • Stakeholder Engagement:

  • Collaborate with business units to ensure timely closure of compliance gaps.

  • Guide teams on remediation plans and monitor progress.

  • Regulatory Monitoring:

  • Stay updated on regulatory changes and assess their impact on testing scope.

  • Support in updating testing methodologies and frameworks accordingly.

  • Team Collaboration:

  • Work closely with various teams.

  • Mentor junior compliance staff and support cross-functional initiatives.

Qualifications & Experience:

  • Bachelors degree in Finance, Business Administration, or related field.
  • 5 - 8 years of experience in compliance testing, auditing, or risk management within the banking sector.
  • Strong understanding of RBI guidelines, AML/KYC norms, and other banking regulations.
  • Professional certifications like CCEP, CRCM, or ICA (preferred).

Skills Required:

  • Regulatory knowledge and interpretation
  • Risk-based testing methodology
  • Analytical and problem-solving skills
  • Strong communication and report writing
  • Stakeholder management
  • Attention to detail and organizational skills

Preferred Attributes:

  • Experience in IT/ISG compliance testing is a plus.
  • Ability to work independently and manage multiple testing engagements.
  • Proactive approach to identifying and mitigating compliance risks.

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