About the role
To execute risk-based compliance testing across business functions and products to assess adherence to applicable RBI regulations, internal policies, SOPs and regulatory guidelines. The role is responsible for identifying compliance gaps, reporting observations, tracking remediation, and supporting a strong compliance culture across the organization.
Preferred candidate profile
Compliance Testing Execution
- Execute risk-based compliance testing as per the approved Compliance Testing Plan.
- Prepare testing scope, test procedures and sampling methodology.
- Review processes, system controls and documentation against regulatory requirements.
- Validate compliance through testing of samples and supporting evidence.
- Monitoring regulatory updates on the RBI/ IRDAI/ SEBI websites and assessing applicability; supporting implementation of RBI and other regulatory requirements; maintaining compliance trackers and ensuring timely closure of action items; assisting in compliance risk assessment for new/existing processes.
- Prepare clear, evidence-based compliance observations.
- Perform root cause analysis and assess regulatory impact.
- Draft testing reports with practical recommendations.
- Maintain complete testing workpapers and documentation
Candidate Profile
- CA with 4-5 years of post-qualification experience.
- Experience in Compliance Testing preferred or good knowledge in Compliance advisory in financial services
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