Compliance Consultant

2 weeks ago


Gurgaon, Haryana, India GSPANN Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Role: Compliance Consultant

Exp- 5+ Years

  • Compliance Testing of various areas, including:

    • KYC Testing

    • Branch office inspections

    • System access reviews

    • Privacy notice testing

    • Form BD review

    • 5123 Filing reviews

    • Licensing reviews

    • Reg BI testing

    • Form ADV reviews

    • CSA Reviews

    • U5 filing testing
  • Developing and performing new testing modules
  • Tracking remedial actions to conclusion
  • Supporting exams through provision of workpapers


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