Compliance Risk Role - Investment Banking

Job opportunity in IB - Mumbai for Compliance risk

- Drive and support high standards of core compliance framework through the ongoing delivery of an organized and structured Core Compliance Program on monitoring and testing.

- Support first line of defense in developing balanced action plans while ensuring that key compliance risks and regulatory requirements are addressed.

- Demonstrate commitment to train, educate, and challenge all subordinates by cultivating professional development of team players

Financial:

- To perform compliance testing on topics as mandated by Regional Compliance basis the residual risk from the Compliance Risk Assessment. The testing has to be comprehensive to identify all possible risks from the core compliance perspective. Engage with the teams to ensure that the risks thus identified are addressed satisfactorily.

- Perform testing on local regulatory guidelines, to ensure strict adherence to the requirements, adequate controls exist. To also contribute by testing the RBI Tranche III points and contribute towards timely and quality completion of these guidelines