Manager - Compliance Framework and Testing - Housing - Compliance - Mumbai - Lower Parel - (17th Floor) - JM
5 days ago
Job Purpose
Ensure to implement and monitor the compliance framework and testing program to ensure adherence to regulatory requirements and internal policies with effectiveness of compliance controls and procedures through testing and monitoring activities.
Core Responsibilities:
1 Monitor & maintain the overall compliance framework, including policies, procedures, controls, and standards,
in alignment with regulatory requirements and industry best practices.
2 Ensure to follow the structured approach for identifying, assessing, and managing compliance risks across
the
organization.
3 Ensure to implement a comprehensive compliance testing program to evaluate the effectiveness of
compliance
controls and procedures.
4 Conduct periodic compliance test across organization level with regulatory requirements and internal policies
5 Conduct risk assessments to identify potential compliance risks and gaps in the existing control environment.
6 Monitor compliance metrics to track the effectiveness of compliance controls and identify areas for
improvement.
7 Assist to prepare and present regular reports to senior management and the board on compliance testing
activities, findings
8 Ensure rectification of defficiencies whereever applicable as part of the overall remedial process and
implementation of recommendations as per various audit and regulatory inspection reports.
9 Stay abreast of regulatory developments and changes in laws and regulations affecting the NBFC industry Communicate regulatory requirements and updates to internal stakeholders and provide guidance on
compliance implications.
Qualification : Graduate/ Master/ Postgraduate
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Mumbai, Maharashtra, India Tata Capital Full timeDescriptionManager - Compliance Framework and Testing - Housing - Compliance - Mumbai - Lower Parel - (17th Floor) - MM
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Mumbai, Maharashtra, India Tata Capital Full timeDescriptionJob PurposeEnsure to implement and monitor the compliance framework and testing program to ensure adherence to regulatory requirements and internal policies with effectiveness of compliance controls and procedures through testing and monitoring activities.Core Responsibilities: 1 Monitor & maintain the overall compliance framework, including...
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